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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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CONC 3.7 Financial promotions and communications: credit brokers
As Published: 2014
CONC 3.7 Financial promotions and communications: credit brokers
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2018
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
As Published: 2016
EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
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EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy
As Published: 2016
EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy
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IFPRU 4.6 Internal ratings based approach: probability of default
As Published: 2014
IFPRU 4.6 Internal ratings based approach: probability of default
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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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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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MIPRU 4.4 Calculation of capital resources
As Published: 2006
MIPRU 4.4 Calculation of capital resources
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COBS 6.1F Using a platform service for arranging and advising
As Published: 2011
COBS 6.1F Using a platform service for arranging and advising
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DISP 1.5 Complaints resolved by close of the third business day
As Published: 2002
DISP 1.5 Complaints resolved by close of the third business day
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PERG 10.4A The application of EU Directives
As Published: 2006
PERG 10.4A The application of EU Directives
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COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
As Published: 2007
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
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IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
As Published: 2014
IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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COBS 19.1 Pension transfers, conversions, and opt-outs
As Published: 2007
COBS 19.1 Pension transfers, conversions, and opt-outs
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