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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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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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BIPRU 4.10 The IRB approach: Credit risk mitigation
As Published: 2006
BIPRU 4.10 The IRB approach: Credit risk mitigation
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EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
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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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MCOB 4.4A Initial disclosure requirements
As Published: 2012
MCOB 4.4A Initial disclosure requirements
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COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
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COBS 21.3 Further rules for firms engaged in linked long-term insurance business
As Published: 2008
COBS 21.3 Further rules for firms engaged in linked long-term insurance business
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