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PERG 10.4A The application of EU Directives
As Published: 2006
PERG 10.4A The application of EU Directives
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SUP 10A.16 How to apply for approval and give notifications
As Published: 2014
SUP 10A.16 How to apply for approval and give notifications
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SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM
As Published: 2015
IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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EG 9.9 The effect of the FCA’s decision to withdraw approval
As Published: 2016
EG 9.9 The effect of the FCA’s decision to withdraw approval
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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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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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