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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
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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 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
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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 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
As Published: 2016
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
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IPRU-INV 5.8 Calculation of own funds and liquid capital
As Published: 2016
IPRU-INV 5.8 Calculation of own funds and liquid capital
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MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
As Published: 2017
MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
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COLL 9.4 Facilities in the United Kingdom
As Published: 2011
COLL 9.4 Facilities in the United Kingdom
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ICOBS 5.2 Statement of demands and needs
As Published: 2008
ICOBS 5.2 Statement of demands and needs
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CONC 3.3 The clear fair and not misleading rule and general requirements
As Published: 2014
CONC 3.3 The clear fair and not misleading rule and general requirements
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EG 4.2 Notifying the person under investigation where notice is not required under the Act
As Published: 2016
EG 4.2 Notifying the person under investigation where notice is not required under the Act
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EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
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EG 19.20 Payment Services Regulations 2017
As Published: 2016
EG 19.20 Payment Services Regulations 2017
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