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COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
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LR 4.3 Approval and publication of listing particulars
As Published: 2016
LR 4.3 Approval and publication of listing particulars
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PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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DTR 6.2 Filing information and use of language
As Published: 2012
DTR 6.2 Filing information and use of language
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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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EG 9.9 The effect of the FCA’s decision to withdraw approval
As Published: 2016
EG 9.9 The effect of the FCA’s decision to withdraw approval
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