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BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

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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

As Published: 2016

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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FEES App 1.3 Application Fees

As Published: 2012

FEES App 1.3 Application Fees

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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

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EG 5.2 When settlement decisions may take place

As Published: 2016

EG 5.2 When settlement decisions may take place

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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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LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

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DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

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EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

As Published: 2016

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

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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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SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

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EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

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LR 2.1 Preliminary

As Published: 2005

LR 2.1 Preliminary

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MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

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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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PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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COBS 18.8 OPS firms - non scope business [deleted]

As Published: 2007

COBS 18.8 OPS firms - non scope business [deleted]

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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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FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

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