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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

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REC 2.7A Position management and position reporting in relation to commodity derivatives

As Published: 2017

REC 2.7A Position management and position reporting in relation to commodity derivatives

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SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

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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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COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

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COLL 8.3 Investor relations

SYSC 3.1 Systems and controls

LR 20.5 Disclosures

SYSC 13.4 Requirements to notify the appropriate regulator

EG 3.3 Reports by skilled persons (section 166)

LR 19.5 Disclosures

SUP 15.10 Reporting suspicious transactions or orders (market abuse)

SUP 8.5 Notification of altered circumstances relating to waivers

COLL 14.2 Registration with the Charity Commission

MAR 6.4 Systematic internaliser reporting requirement

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

REC 3.7 Auditors

COLL 8.6 Termination, suspension, and schemes of arrangement

PERG 4.11 Link between activities and the United Kingdom

FIT 1.3 Assessing fitness and propriety

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products