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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
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PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
As Published: 2014
PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
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SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
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REC 4.2B Exercise of passport rights by a UK RIE [deleted]
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE [deleted]
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COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2015
COBS 4.10 Systems and controls and approving and communicating financial promotions
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MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)
As Published: 2015
MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)
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CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters
As Published: 2014
CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters
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PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
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REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
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