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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

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MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

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CONC 5.3 Conduct of business in relation to creditworthiness and affordability

As Published: 2014

CONC 5.3 Conduct of business in relation to creditworthiness and affordability

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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

CASS 5.5 Segregation and the operation of client money accounts

SUP 11.7 Acquisition or increase of control: assessment process and criteria

MAR 10.2 Position limit requirements

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

COLL 4.2 Pre-sale notifications

EG 3.10 Liaison where other authorities have an interest

PERG 8.4 Invitation or inducement

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

REC 2.16 Complaints

REC 4.4 Complaints

LR 2.2 Requirements for all securities

SYSC 3.2 Areas covered by systems and controls

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

MCOB 6A.4 MCD mortgages: information to be provided in the offer document or separately

LR 10.8 Miscellaneous

LR 5.4 Restoring listing

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

MCOB 5.1 Application

CONC 5.3 Conduct of business in relation to creditworthiness and affordability