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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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IPRU-INV 5.12 Counterparty risk requirement (CRR)
As Published: 2016
IPRU-INV 5.12 Counterparty risk requirement (CRR)
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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
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SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
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IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS
As Published: 2015
IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS
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MCOB 4.11 Sale and rent back: advising and selling standards
As Published: 2010
MCOB 4.11 Sale and rent back: advising and selling standards
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CREDS 7.1 Application, purpose and interpretation
As Published: 2011
CREDS 7.1 Application, purpose and interpretation
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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
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CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
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