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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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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

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SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

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REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

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COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

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LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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Similar To

COND 2.7 Business model

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

SUP 8.6 Publication of waivers

SYSC 22.2 Getting, giving and updating references: the main rules

EG 3.1 Introduction

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

DEPP 6.5D Serious financial hardship

MAR 9.4 Supervisory regime

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

MAR 4.3 Support of the Takeover Panel's Functions

COCON 3.1 General factors for assessing compliance

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