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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
As Published: 2016
EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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BIPRU 14.2 Calculation of the capital requirement for CCR
As Published: 2006
BIPRU 14.2 Calculation of the capital requirement for CCR
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
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CONC 5.2 Creditworthiness assessment: before agreement [deleted]
As Published: 2015
CONC 5.2 Creditworthiness assessment: before agreement [deleted]
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SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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