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SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

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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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COBS 20.1 Application

As Published: 2007

COBS 20.1 Application

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PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

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MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

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COBS 3.1 Application

As Published: 2007

COBS 3.1 Application

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MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

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SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

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PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

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EG 8.1 Introduction

As Published: 2016

EG 8.1 Introduction

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EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

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MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

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DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

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EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

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EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

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COLL 11.1 Introduction

As Published: 2011

COLL 11.1 Introduction

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TC App 5.1

As Published: 2010

TC App 5.1

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IPRU-INV 14 App 1 Interpretation

As Published: 2019

IPRU-INV 14 App 1 Interpretation

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COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

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CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

…

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Similar To

SUP 10A.12 Procedures relating to FCA-approved persons

MAR 7A.3 Requirements for algorithmic trading

COBS 20.1 Application

PERG 8.24 Advising on investments

MAR 7A.4 Requirements when providing direct electronic access

COBS 3.1 Application

MAR 5A.4 Trading process requirements

SUP 3.3 Appointment of auditors

PERG 14.5 The ‘by-way-of-business’ test

EG 8.1 Introduction

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

MIPRU 3.1 Application and purpose

DTR 2.2 Disclosure of inside information

EG 7.2 Alternatives to sanctions

EG 4.13 Preliminary findings letters and preliminary investigation reports

COLL 11.1 Introduction

TC App 5.1

IPRU-INV 14 App 1 Interpretation

COBS 11.4 Client limit orders

CASS 9.3 Prime brokerage agreement disclosure annex