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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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SUP 10C.9 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10C.9 Minimising overlap with the PRA approved persons regime
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EG 19.35 Data Reporting Services Regulations 2024
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2024
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COBS 8.1 Client agreements: non-MiFID designated investment business
As Published: 2007
COBS 8.1 Client agreements: non-MiFID designated investment business
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DEPP 1.2 Introduction to statutory notices
As Published: 2011
DEPP 1.2 Introduction to statutory notices
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CONC 4.2 Pre-contract disclosure and adequate explanations
As Published: 2014
CONC 4.2 Pre-contract disclosure and adequate explanations
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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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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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MCOB 4.11 Sale and rent back: advising and selling standards
As Published: 2010
MCOB 4.11 Sale and rent back: advising and selling standards
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