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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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LR 4.3 Approval and publication of listing particulars

As Published: 2005

LR 4.3 Approval and publication of listing particulars

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EG 5.2 When settlement decisions may take place

As Published: 2016

EG 5.2 When settlement decisions may take place

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DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

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IPRU-INV 11.2 MAIN REQUIREMENTS

As Published: 2015

IPRU-INV 11.2 MAIN REQUIREMENTS

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SUP 11.6 Subsequent notification requirements by firms

As Published: 2004

SUP 11.6 Subsequent notification requirements by firms

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SUP 4.1 Application

ICOBS 5.3 Advised sales

PERG 8.24 Advising on investments

BIPRU 13.8 Securities financing transactions

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

PERG 10.1 Background

FEES 5.2 Introduction

DISP App 1.1 Introduction

COBS 12.4 Research recommendations: required disclosures

ICOBS 2.2 Communications to clients and financial promotions

MIPRU 4.2C Credit risk mitigation

EG 20.3 Decision making under the CCA Order

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

LR 4.3 Approval and publication of listing particulars

EG 5.2 When settlement decisions may take place

DEPP 2.2 Warning notices and first supervisory notices

IPRU-INV 11.2 MAIN REQUIREMENTS

SUP 11.6 Subsequent notification requirements by firms