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EG 5.1 Settlement and the FCA – an overview
As Published: 2016
EG 5.1 Settlement and the FCA – an overview
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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CONC 8.3 Pre contract information and advice requirements
As Published: 2014
CONC 8.3 Pre contract information and advice requirements
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DTR 1.3 Information gathering and publication
As Published: 2016
DTR 1.3 Information gathering and publication
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
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EG 20.2 Information gathering and investigation powers
As Published: 2016
EG 20.2 Information gathering and investigation powers
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COLL 13.2 Operational requirements for feeder NURS
As Published: 2016
COLL 13.2 Operational requirements for feeder NURS
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CONC 4.4 Pre-contractual requirements: credit brokers
As Published: 2014
CONC 4.4 Pre-contractual requirements: credit brokers
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CONC 7.6 Exercise of continuous payment authority
As Published: 2014
CONC 7.6 Exercise of continuous payment authority
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