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REC 3.5 Disciplinary action and events relating to members of the management body
As Published: 2013
REC 3.5 Disciplinary action and events relating to members of the management body
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EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act
As Published: 2016
EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act
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FEES 11.1 Application, purpose and background
As Published: 2015
FEES 11.1 Application, purpose and background
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
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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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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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