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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 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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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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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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COBS 21.3 Rules for firms engaged in linked long-term insurance business
As Published: 2008
COBS 21.3 Rules for firms engaged in linked long-term insurance business
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