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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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MCOB 2.4 High pressure sales: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
As Published: 2006
MCOB 2.4 High pressure sales: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
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CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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EG 2.4 Case selection: Unauthorised business
As Published: 2016
EG 2.4 Case selection: Unauthorised business
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SUP 15.10 Reporting suspicious transactions or orders (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions or orders (market abuse)
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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