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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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EG 19.9 Electronic commerce activity directions: the FCA’s policy
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy
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SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
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FEES 10.1 Application, purpose and background
As Published: 2015
FEES 10.1 Application, purpose and background
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
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DTR 1A.3 FCA may require the publication of information
As Published: 2012
DTR 1A.3 FCA may require the publication of information
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LR 5.4A Transfer between listing categories
As Published: 2009
LR 5.4A Transfer between listing categories
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SUP 14.4 Notices of proposed changes: form and delivery
As Published: 2001
SUP 14.4 Notices of proposed changes: form and delivery
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)
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