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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

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COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

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LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

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COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

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REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

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REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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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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SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose

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Similar To

SYSC 4.6

RCB 6.2 Policy on decision and warning notices

SUP 15.11 Notification of COCON breaches and disciplinary action

DTR 2.1 Introduction and purpose

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

LR 15.2 Requirements for listing

PR 5.6 Miscellaneous

EG App 3.3 SFO

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 3.15 Suspension of services and inability to operate facilities

SUP 14.6 Cancelling qualification for authorisation

DEPP 2.2 Warning notices and first supervisory notices

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation