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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
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EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
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RCB 3.4 Covered Bond issuance notifications
As Published: 2011
RCB 3.4 Covered Bond issuance notifications
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IFPRU 5.2 Advanced Measurement Approach permission
As Published: 2014
IFPRU 5.2 Advanced Measurement Approach permission
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EG 11.4 Determining the amount of restitution
As Published: 2016
EG 11.4 Determining the amount of restitution
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EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
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EG 9.5 Prohibition orders against other individuals
As Published: 2016
EG 9.5 Prohibition orders against other individuals
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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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DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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