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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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SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
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EG 2.15 Decision making in the context of regulatory enforcement action
As Published: 2016
EG 2.15 Decision making in the context of regulatory enforcement action
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DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
As Published: 2015
DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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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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DTR 1C.1 Application and purpose (Primary information providers)
As Published: 2014
DTR 1C.1 Application and purpose (Primary information providers)
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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EG 9.5 Prohibition orders against other individuals
As Published: 2016
EG 9.5 Prohibition orders against other individuals
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
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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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EG 19.11 Financial Services (Distance Marketing) Regulations 2004
As Published: 2016
EG 19.11 Financial Services (Distance Marketing) Regulations 2004
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