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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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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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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
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REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
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EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
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SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
As Published: 2007
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
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ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
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SUP 8A.1 Application, purpose and interpretation
As Published: 2014
SUP 8A.1 Application, purpose and interpretation
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SUP 10A.16 How to apply for approval and give notifications
As Published: 2014
SUP 10A.16 How to apply for approval and give notifications
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