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BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
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REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
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BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
As Published: 2007
BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
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BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
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REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
As Published: 2007
REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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REC 3.20 Disciplinary action relating to members
As Published: 2001
REC 3.20 Disciplinary action relating to members
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DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
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