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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
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CONC 4.3 Adequate explanations: P2P agreements
As Published: 2015
CONC 4.3 Adequate explanations: P2P agreements
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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DISP App 3.9 Other matters concerning redress
As Published: 2010
DISP App 3.9 Other matters concerning redress
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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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REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
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CONC 4.8 Pre-contract: unfair business practices: consumer credit lending
As Published: 2014
CONC 4.8 Pre-contract: unfair business practices: consumer credit lending
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SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
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MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
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CONC 4.4 Pre-contractual requirements: credit brokers
As Published: 2014
CONC 4.4 Pre-contractual requirements: credit brokers
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