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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
As Published: 2016
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
As Published: 2016
EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
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PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
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SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
As Published: 2015
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
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EG 2.9 FCA guidance and supporting materials
As Published: 2016
EG 2.9 FCA guidance and supporting materials
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