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DISP App 3.2 The assessment of a complaint
As Published: 2017
DISP App 3.2 The assessment of a complaint
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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SYSC 18.5 Settlement agreements with workers
As Published: 2015
SYSC 18.5 Settlement agreements with workers
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REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
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REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
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REC 4.2E Information: compliance of UK recognised bodies with specified requirements
As Published: 2007
REC 4.2E Information: compliance of UK recognised bodies with specified requirements
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COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
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