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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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SUP 5.6 Confidential information and privilege
As Published: 2016
SUP 5.6 Confidential information and privilege
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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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FEES 11.2 Pensions guidance providers’ levy
As Published: 2015
FEES 11.2 Pensions guidance providers’ levy
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EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
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SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
As Published: 2015
SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
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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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COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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MCOB 9.5 Disclosure at the offer stage for equity release transactions
As Published: 2004
MCOB 9.5 Disclosure at the offer stage for equity release transactions
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