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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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EG 19.9 Electronic commerce activity directions: the FCA’s policy
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy
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SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
As Published: 2007
SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative
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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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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
As Published: 2016
SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms
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COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
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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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BIPRU 2.3 Interest rate risk in the non-trading book
As Published: 2006
BIPRU 2.3 Interest rate risk in the non-trading book
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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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