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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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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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EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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FEES 4.4 Information on which fees are calculated
As Published: 2007
FEES 4.4 Information on which fees are calculated
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
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EG 19.13 The Consumer Protection Co-operation Regulation [deleted]
As Published: 2016
EG 19.13 The Consumer Protection Co-operation Regulation [deleted]
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PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
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