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REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
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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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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2001
SUP 18.4 Friendly Society transfers and amalgamations
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REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
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EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts
As Published: 2016
EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts
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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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SUP 6.1 Application, interpretation and purpose
As Published: 2004
SUP 6.1 Application, interpretation and purpose
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LR 4.3 Approval and publication of listing particulars
As Published: 2016
LR 4.3 Approval and publication of listing particulars
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EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
As Published: 2016
EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
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SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
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MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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