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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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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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EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)
As Published: 2016
EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)
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EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)
As Published: 2016
EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)
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MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
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EG 3.3 Reports by skilled persons (section 166)
As Published: 2016
EG 3.3 Reports by skilled persons (section 166)
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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EG 4.9 Involvement of FCA supervisors during the investigation phase
As Published: 2016
EG 4.9 Involvement of FCA supervisors during the investigation phase
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EG 19.25 Recognised Auction Platforms Regulations 2011
As Published: 2016
EG 19.25 Recognised Auction Platforms Regulations 2011
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DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
As Published: 2015
DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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