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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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FEES 5.9 Leaving the Financial Ombudsman Service
As Published: 2009
FEES 5.9 Leaving the Financial Ombudsman Service
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EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)
As Published: 2016
EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)
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PERG 13.7 The territorial application of MiFID [deleted]
As Published: 2007
PERG 13.7 The territorial application of MiFID [deleted]
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EG 6.7 Behaviour in the context of takeover bid
As Published: 2016
EG 6.7 Behaviour in the context of takeover bid
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SUP 1A.3 The FCA's approach to supervision
As Published: 2019
SUP 1A.3 The FCA's approach to supervision
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EG 2.9 FCA guidance and supporting materials
As Published: 2016
EG 2.9 FCA guidance and supporting materials
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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EG 2.11 Senior management responsibility
As Published: 2015
EG 2.11 Senior management responsibility
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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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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PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
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PERG 2.11 Persons who are exempt for credit-related regulated activities
As Published: 2007
PERG 2.11 Persons who are exempt for credit-related regulated activities
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COBS 6.2A Describing advice services [deleted]
As Published: 2010
COBS 6.2A Describing advice services [deleted]
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COBS 6.1C Consultancy charging and remuneration
As Published: 2010
COBS 6.1C Consultancy charging and remuneration
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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