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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation
As Published: 2016
EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation
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ICOBS 5.2 Statement of demands and needs
As Published: 2008
ICOBS 5.2 Statement of demands and needs
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COBS 6.1C Consultancy charging and remuneration
As Published: 2010
COBS 6.1C Consultancy charging and remuneration
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SYSC 4.9 Handover procedures and material
As Published: 2015
SYSC 4.9 Handover procedures and material
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CONC 3.7A Financial promotions and communications: P2P agreements
As Published: 2016
CONC 3.7A Financial promotions and communications: P2P agreements
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COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds
As Published: 2015
COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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SUP App 2.8 Ceasing to effect contracts of insurance
As Published: 2002
SUP App 2.8 Ceasing to effect contracts of insurance
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