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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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COLL 6.8 Income: accounting, allocation and distribution
As Published: 2006
COLL 6.8 Income: accounting, allocation and distribution
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
As Published: 2015
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
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CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
As Published: 2016
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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COBS 3.7 Providing clients with a higher level of protection
As Published: 2017
COBS 3.7 Providing clients with a higher level of protection
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