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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974
As Published: 2016
EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974
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MAR 6.4 Systematic internaliser reporting requirement
As Published: 2007
MAR 6.4 Systematic internaliser reporting requirement
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
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CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
As Published: 2014
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
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COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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