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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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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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CONC 6.2 Assessment of creditworthiness: during agreement
As Published: 2014
CONC 6.2 Assessment of creditworthiness: during agreement
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LR 16.4 Requirements with continuing application
As Published: 2007
LR 16.4 Requirements with continuing application
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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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TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
As Published: 2007
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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EG 19.17 Regulated Covered Bonds Regulations 2008
As Published: 2016
EG 19.17 Regulated Covered Bonds Regulations 2008
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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COBS 2.2 Information disclosure before providing services
As Published: 2008
COBS 2.2 Information disclosure before providing services
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CONC 5.5 Creditworthiness assessment: P2P agreements
As Published: 2015
CONC 5.5 Creditworthiness assessment: P2P agreements
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