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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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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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REC 3.4 Members of the management body and internal organisation
As Published: 2007
REC 3.4 Members of the management body and internal organisation
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PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
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CONC 1.3 Guidance on financial difficulties
As Published: 2014
CONC 1.3 Guidance on financial difficulties
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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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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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CONC 10.2 Prudential resources requirements
As Published: 2014
CONC 10.2 Prudential resources requirements
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SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]
As Published: 2015
SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]
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SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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