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COLL 9.4 Facilities in the United Kingdom for schemes recognised under section 272 of the Act
As Published: 2011
COLL 9.4 Facilities in the United Kingdom for schemes recognised under section 272 of the Act
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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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CASS 1.5 Application: electronic media and E-Commerce
As Published: 2007
CASS 1.5 Application: electronic media and E-Commerce
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EG 5.3 The basis of settlement discussions
As Published: 2016
EG 5.3 The basis of settlement discussions
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MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
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BIPRU 5.2 The central principles of credit risk mitigation
As Published: 2009
BIPRU 5.2 The central principles of credit risk mitigation
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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DTR 1.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1.2 Modifying rules and consulting the FCA
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MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
As Published: 2017
MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
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REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
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