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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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COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
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SUP App 2.7 Capital resources below the level of individual capital guidance
As Published: 2006
SUP App 2.7 Capital resources below the level of individual capital guidance
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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BIPRU 12.5 Individual Liquidity Adequacy Standards
As Published: 2009
BIPRU 12.5 Individual Liquidity Adequacy Standards
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DTR 1.3 Information gathering and publication
As Published: 2005
DTR 1.3 Information gathering and publication
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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DTR 1A.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FCA
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