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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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CASS 11.9 Segregation and the operation of client money accounts
As Published: 2014
CASS 11.9 Segregation and the operation of client money accounts
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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
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CONC 10.2 Prudential resources requirements
As Published: 2014
CONC 10.2 Prudential resources requirements
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SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
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EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
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BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
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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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