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MAR 8.3 Requirements for benchmark administrators
As Published: 2015
MAR 8.3 Requirements for benchmark administrators
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DISP 3.5 Resolution of complaints by the Ombudsman
As Published: 2008
DISP 3.5 Resolution of complaints by the Ombudsman
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COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
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EG 2.5 Cases where other authorities have an interest
As Published: 2016
EG 2.5 Cases where other authorities have an interest
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EG 13.11 Applications for orders against debt avoidance: the FCA’s policy
As Published: 2016
EG 13.11 Applications for orders against debt avoidance: the FCA’s policy
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SUP 5.2 The appropriate regulator’s power
As Published: 2001
SUP 5.2 The appropriate regulator’s power
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EG 9.9 The effect of the FCA’s decision to withdraw approval
As Published: 2016
EG 9.9 The effect of the FCA’s decision to withdraw approval
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EG 16.4 The effect of a disapplication order
As Published: 2016
EG 16.4 The effect of a disapplication order
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COBS 14.4 Provision of information by an intermediate Unitholder
As Published: 2011
COBS 14.4 Provision of information by an intermediate Unitholder
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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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EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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