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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

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EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

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BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

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DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

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EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

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SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

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COBS 19.7 Retirement risk warnings

DTR 8.5 Supervision of primary information providers

SUP 3.10 Duties of auditors: notification and report on client assets

REC 3.14 Products, services and normal hours of operation

CASS 11.7 Selecting an approved bank at which to hold client money

BIPRU 5.6 Master netting agreements

LR 18.2 Requirements for listing

COBS 16.3 Periodic reporting

SYSC 7.1 Risk control

COBS 11.6 Use of dealing commission [deleted]

CONC 7.13 Data accuracy and outsourced activities

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

SYSC 1.4 Application of SYSC 11 to 28

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration