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CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
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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 2.5 Cases where other authorities have an interest
As Published: 2016
EG 2.5 Cases where other authorities have an interest
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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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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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SYSC 22.5 Giving references: additional rules and guidance for all firms
As Published: 2016
SYSC 22.5 Giving references: additional rules and guidance for all firms
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EG 19.11 Financial Services (Distance Marketing) Regulations 2004
As Published: 2016
EG 19.11 Financial Services (Distance Marketing) Regulations 2004
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EG 2.11 Senior management responsibility
As Published: 2015
EG 2.11 Senior management responsibility
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DEPP 8.2 Use of the own-initiative variation of approval power: general
As Published: 2015
DEPP 8.2 Use of the own-initiative variation of approval power: general
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EG 16.4 The effect of a disapplication order
As Published: 2016
EG 16.4 The effect of a disapplication order
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CASS 1.4 Application: particular activities
As Published: 2007
CASS 1.4 Application: particular activities
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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