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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
As Published: 2016
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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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
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EG 16.4 The effect of a disapplication order
As Published: 2016
EG 16.4 The effect of a disapplication order
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
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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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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 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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PERG 8.30 Medium used to give advice or information
As Published: 2005
PERG 8.30 Medium used to give advice or information
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PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
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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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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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