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MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
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BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs
As Published: 2010
BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs
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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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EG 7.2 Alternatives to financial penalties and public censures
As Published: 2015
EG 7.2 Alternatives to financial penalties and public censures
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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
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DEPP 6A.2 Deciding whether to take action
As Published: 2013
DEPP 6A.2 Deciding whether to take action
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
As Published: 2016
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
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EG 2.2 Case selection: Firms and individuals, market abuse cases and listing matters
As Published: 2015
EG 2.2 Case selection: Firms and individuals, market abuse cases and listing matters
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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EG 19.20 Payment Services Regulations 2009
As Published: 2016
EG 19.20 Payment Services Regulations 2009
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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