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EG 19.22 Decision making under the Payment Services Regulations
As Published: 2016
EG 19.22 Decision making under the Payment Services Regulations
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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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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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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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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EG 13.12 Insolvency regime and relevant sections of the Act
As Published: 2016
EG 13.12 Insolvency regime and relevant sections of the Act
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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
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PERG 4.6 Advising on regulated mortgage contracts
As Published: 2006
PERG 4.6 Advising on regulated mortgage contracts
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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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