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MCOB 10A.2 APRC: mathematical formula and assumptions
As Published: 2016
MCOB 10A.2 APRC: mathematical formula and assumptions
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COBS 8.1 Client agreements: non-MiFID designated investment business
As Published: 2007
COBS 8.1 Client agreements: non-MiFID designated investment business
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
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SYSC 13.3 Other related Handbook sections
As Published: 2007
SYSC 13.3 Other related Handbook sections
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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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RCB 6.2 Policy on decision and warning notices
As Published: 2008
RCB 6.2 Policy on decision and warning notices
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LR 1.2 Modifying rules and consulting the FCA
As Published: 2010
LR 1.2 Modifying rules and consulting the FCA
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DTR 1A.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FCA
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EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
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DEPP 2.3 Decision notices and second supervisory notices
As Published: 2013
DEPP 2.3 Decision notices and second supervisory notices
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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DTR 1C.2 Modifying rules and consulting the FCA
As Published: 2018
DTR 1C.2 Modifying rules and consulting the FCA
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DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
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