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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

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FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

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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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REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

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LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

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EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

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Effective Period

Similar To

SUP 6.2 Introduction

DEPP 6.5A The five steps for penalties imposed on firms

COLL 6.2 Dealing

REC 6.8 Powers to supervise

EG 4.11 Approach to interviews and interview procedures

LR 13.8 Other circulars

EG 2.4 Case selection: Unauthorised business

DTR 1.5 Fees and sanctions

CASS 7.11 Treatment of client money

SUP 18.1 Application

LR 10.8 Miscellaneous

LR 13.5 Financial information in Class 1 Circulars

REC 3.18 Membership

DEPP 7.1 Application and purpose

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

FEES 3.2 Obligation to pay fees

COLL 6.12 Risk management policy and risk measurement

REC 2.4 Suitability

LR 5.6 Reverse takeovers

EG 10.4 Other relevant powers