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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

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REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

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MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

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SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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Similar To

EG 3.1 Introduction

EG 4.8 Scoping discussions

EG 19.18 Counter-Terrorism Act 2008

EG 5.5 The settlement discount scheme

SYSC 5.2 Certification regime

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

DEPP 6.6 Financial penalties for late and incomplete submission of reports

EG 19.20 Payment Services Regulations 2017

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

PERG 4.11 Link between activities and the United Kingdom

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

EG 7.1 The FCA’s use of sanctions

EG 4.9 Involvement of FCA supervisors during the investigation phase

SUP 10C.13 Variation of conditional and time-limited approvals

DEPP 6A.1 Introduction

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

REC 2.16 Complaints

MAR 5.6 Reporting requirements

SUP 10C.11 Statements of responsibilities

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases