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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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EG 19.6 Regulated Activities Order 2001 (RAO)
As Published: 2016
EG 19.6 Regulated Activities Order 2001 (RAO)
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MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
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MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral
As Published: 2017
MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral
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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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DISP 1.10B Payment services and electronic money complaints reporting
As Published: 2018
DISP 1.10B Payment services and electronic money complaints reporting
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CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements
As Published: 2015
CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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SUP 16.22 Reporting under the Payment Accounts Regulations
As Published: 2016
SUP 16.22 Reporting under the Payment Accounts Regulations
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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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