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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
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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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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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SUP 16.12 Integrated Regulatory Reporting
As Published: 2006
SUP 16.12 Integrated Regulatory Reporting
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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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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SUP 10A.15 References and accurate information
As Published: 2013
SUP 10A.15 References and accurate information
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