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EG 3.10 Liaison where other authorities have an interest
As Published: 2016
EG 3.10 Liaison where other authorities have an interest
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EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
As Published: 2016
EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
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REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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EG 4.13 Preliminary findings letters and preliminary investigation reports
As Published: 2016
EG 4.13 Preliminary findings letters and preliminary investigation reports
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CASS 10.1 Application, purpose and general provisions
As Published: 2012
CASS 10.1 Application, purpose and general provisions
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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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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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BIPRU 12.2 Adequacy of liquidity resources
As Published: 2009
BIPRU 12.2 Adequacy of liquidity resources
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
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