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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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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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ICOBS 5.2 Statement of demands and needs
As Published: 2008
ICOBS 5.2 Statement of demands and needs
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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SUP 21.1 Form of waiver for energy market participants
As Published: 2003
SUP 21.1 Form of waiver for energy market participants
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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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COBS 9.3 Guidance on assessing suitability
As Published: 2013
COBS 9.3 Guidance on assessing suitability
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SUP 5.2 The appropriate regulator’s power
As Published: 2001
SUP 5.2 The appropriate regulator’s power
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
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