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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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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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IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

As Published: 2014

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

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EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

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IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

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DTR 1.5 Fees and sanctions

IFPRU 6.3 Expectations relating to internal models

GEN 4.4 Business for retail clients from non-UK offices

IFPRU 4.6 Internal ratings based approach: probability of default

REC 3.18 Membership

SYSC 4.5

RCB 6.2 Policy on decision and warning notices

EG 4.2 Notifying the person under investigation where notice is not required under the Act

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SYSC 22.5 Giving references: additional rules and guidance for all firms

SYSC 4 Annex 1

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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