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CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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MCOB 4.11 Sale and rent back: advising and selling standards
As Published: 2010
MCOB 4.11 Sale and rent back: advising and selling standards
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PERG 4.9 Agreeing to carry on a regulated activity
As Published: 2005
PERG 4.9 Agreeing to carry on a regulated activity
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SUP 10C.14 Changes to an FCA-approved person’s details
As Published: 2015
SUP 10C.14 Changes to an FCA-approved person’s details
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TC App 3.1 Circumstances in which TC does not apply
As Published: 2007
TC App 3.1 Circumstances in which TC does not apply
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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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