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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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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2013
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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EG 6.6 Publicity during, or upon the conclusion of criminal action (see chapter 12)
As Published: 2016
EG 6.6 Publicity during, or upon the conclusion of criminal action (see chapter 12)
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LR 6.11 Specialist companies: scientific research based companies
As Published: 2017
LR 6.11 Specialist companies: scientific research based companies
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PERG 4.6 Advising on regulated mortgage contracts
As Published: 2006
PERG 4.6 Advising on regulated mortgage contracts
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SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2018
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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REC 3.5 Disciplinary action and events relating to members of the management body
As Published: 2013
REC 3.5 Disciplinary action and events relating to members of the management body
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SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2016
SYSC 13.4 Requirements to notify the appropriate regulator
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COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
As Published: 2007
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
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SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
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