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PERG 4.9 Agreeing to carry on a regulated activity
As Published: 2005
PERG 4.9 Agreeing to carry on a regulated activity
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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
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BIPRU 11.4 Technical criteria on disclosure: General criteria
As Published: 2007
BIPRU 11.4 Technical criteria on disclosure: General criteria
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BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
As Published: 2007
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
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COBS 12.3 Non-independent research [deleted]
As Published: 2017
COBS 12.3 Non-independent research [deleted]
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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CONC 7.16 Passing data to lead generators etc.
As Published: 2014
CONC 7.16 Passing data to lead generators etc.
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