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EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
As Published: 2016
EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy
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EG 13.12 Insolvency regime and relevant sections of the Act
As Published: 2016
EG 13.12 Insolvency regime and relevant sections of the Act
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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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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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EG 6.1 Publicity during FCA investigations
As Published: 2016
EG 6.1 Publicity during FCA investigations
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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 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
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EG 19.32 The Payment Accounts Regulations 2015
As Published: 2016
EG 19.32 The Payment Accounts Regulations 2015
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SYSC 19A.3 Remuneration principles for IFPRU investment firms
As Published: 2011
SYSC 19A.3 Remuneration principles for IFPRU investment firms
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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