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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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EG 3.2B Information requests (section 122B)
As Published: 2016
EG 3.2B Information requests (section 122B)
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EG 3.2 Information requests (section 165)
As Published: 2016
EG 3.2 Information requests (section 165)
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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
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MCOB 13.4A Data sharing with other charge holders
As Published: 2015
MCOB 13.4A Data sharing with other charge holders
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EG 3.2A Information requests (section 122A)
As Published: 2016
EG 3.2A Information requests (section 122A)
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EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
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COBS 4.8 Cold calls and other promotions that are not in writing
As Published: 2007
COBS 4.8 Cold calls and other promotions that are not in writing
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EG 3.9 Power to require information relating to potentially unfair etc terms and notices
As Published: 2016
EG 3.9 Power to require information relating to potentially unfair etc terms and notices
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EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)
As Published: 2016
EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)
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REC 2.16B Operation of a data reporting service
As Published: 2017
REC 2.16B Operation of a data reporting service
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