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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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BIPRU 11.4 Technical criteria on disclosure: General criteria
As Published: 2007
BIPRU 11.4 Technical criteria on disclosure: General criteria
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DTR 5.2 Acquisition or disposal of major proportions of voting rights
As Published: 2007
DTR 5.2 Acquisition or disposal of major proportions of voting rights
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COBS 2.4 Agent as client and reliance on others
As Published: 2007
COBS 2.4 Agent as client and reliance on others
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FEES 5.8 Joining the Financial Ombudsman Service
As Published: 2009
FEES 5.8 Joining the Financial Ombudsman Service
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CONC 7.5 Pursuing and recovering repayments
As Published: 2014
CONC 7.5 Pursuing and recovering repayments
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MCOB 4.9 Business loans and loans to high net worth mortgage customers: tailored provisions
As Published: 2004
MCOB 4.9 Business loans and loans to high net worth mortgage customers: tailored provisions
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COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
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