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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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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
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PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit
As Published: 2015
CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit
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DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
As Published: 2008
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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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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DISP App 3.11 Obligation to write letters to certain rejected complainants
As Published: 2017
DISP App 3.11 Obligation to write letters to certain rejected complainants
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