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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

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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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MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

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MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

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Similar To

DISP 1.6 Complaints time limit rules

LR 20.1 Application

IPRU-INV 5.17 Other assets requirement

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

MAR 5A.3 Specific requirements for OTFs

FEES 5.2 Introduction

GEN 7.2 Call charges

GEN 1.2 Referring to approval by the FCA

DISP App 1.1 Introduction

CONC 8.3 Pre contract information and advice requirements

SUP 10A.16 How to apply for approval and give notifications

REC 6.3 Recognition requirements

MCOB 2.8 Record keeping

CASS 8.2 Definition of mandate

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

DEPP 2.2 Warning notices and first supervisory notices

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

MAR 5.5 Monitoring compliance with the rules of the MTF

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

MAR 5A.7 Monitoring compliance with the rules of the OTF