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BIPRU 7.7 Position risk requirements for collective investment undertakings
As Published: 2007
BIPRU 7.7 Position risk requirements for collective investment undertakings
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CONC 7.13 Data accuracy and outsourced activities
As Published: 2015
CONC 7.13 Data accuracy and outsourced activities
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BIPRU 11.4 Technical criteria on disclosure: General criteria
As Published: 2007
BIPRU 11.4 Technical criteria on disclosure: General criteria
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SUP 10A.5 Significant-influence functions
As Published: 2015
SUP 10A.5 Significant-influence functions
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek
As Published: 2016
EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek
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COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
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EG 8.3 Use of the own-initiative powers in urgent cases
As Published: 2016
EG 8.3 Use of the own-initiative powers in urgent cases
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