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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
As Published: 2016
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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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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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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EG 9.8 The effect of the FCA's decision to make a prohibition order
As Published: 2016
EG 9.8 The effect of the FCA's decision to make a prohibition order
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EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974
As Published: 2016
EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974
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LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
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EG 4.5 Notice of termination of investigations
As Published: 2016
EG 4.5 Notice of termination of investigations
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EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
As Published: 2016
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
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SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
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COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
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PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
As Published: 2002
SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
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