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LR 6.2 Historical financial information requirements
As Published: 2017
LR 6.2 Historical financial information 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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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
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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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SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015
As Published: 2016
EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015
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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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EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations
As Published: 2016
EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations
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DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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EG 5.3 The basis of settlement discussions
As Published: 2016
EG 5.3 The basis of settlement discussions
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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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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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