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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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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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CASS 7.15 Records, accounts and reconciliations
As Published: 2014
CASS 7.15 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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PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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COBS 13.5 Preparing product information: other projections
As Published: 2007
COBS 13.5 Preparing product information: other projections
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COBS 21.2 Rules for firms engaged in linked long-term insurance business
As Published: 2015
COBS 21.2 Rules for firms engaged in linked long-term insurance business
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CASS 7.16 The standard methods of internal client money reconciliation
As Published: 2014
CASS 7.16 The standard methods of internal client money reconciliation
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CASS 11.9 Segregation and the operation of client money accounts
As Published: 2014
CASS 11.9 Segregation and the operation of client money accounts
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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SUP 10C.10 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10C.10 Application for approval and withdrawing an application for approval
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