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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
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BIPRU 8.6 Consolidated capital resources
As Published: 2006
BIPRU 8.6 Consolidated capital resources
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LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
As Published: 2007
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
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CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]
As Published: 2014
CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]
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PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
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