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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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REC 3.17 Inability to discharge regulatory functions

As Published: 2013

REC 3.17 Inability to discharge regulatory functions

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CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

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EG 9.8 The effect of the FCA's decision to make a prohibition order

As Published: 2016

EG 9.8 The effect of the FCA's decision to make a prohibition order

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PERG 12.1 Background

As Published: 2006

PERG 12.1 Background

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PERG 16.7 By way of business

As Published: 2013

PERG 16.7 By way of business

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SUP 13A.2 EEA firms and Treaty firms

As Published: 2009

SUP 13A.2 EEA firms and Treaty firms

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PERG 8.34 The business test

As Published: 2005

PERG 8.34 The business test

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GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

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Similar To

IFPRU 4.2 Standardised approach

EG 19.15 The conduct of investigations under the Money Laundering Regulations

REC 2A.4 Power and procedure for RAP penalties and censures

SUP 3.2 Purpose

IFPRU 2.2 Internal capital adequacy assessment process

SUP 8.1 Application and purpose

MIPRU 4.3 Calculation of annual income

FEES App 1 Annex 2 Further information on fees

EG 2.4 Case selection: Unauthorised business

EG 8.1 Introduction

SUP App 3.2 Purpose

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading