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LR 9.4 Documents requiring prior approval
As Published: 2021
LR 9.4 Documents requiring prior approval
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BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
As Published: 2006
BIPRU 9.12 Calculation of risk-weighted exposure amounts under the IRB approach
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MCOB 1.2 General application: who? what?
As Published: 2005
MCOB 1.2 General application: who? what?
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
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REC 2.16B Operation of a data reporting service
As Published: 2017
REC 2.16B Operation of a data reporting service
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BIPRU 4.6 The IRB approach: Retail exposures
As Published: 2007
BIPRU 4.6 The IRB approach: Retail exposures
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EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
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