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EG 2.1 Case selection and the use of enforcement powers
As Published: 2016
EG 2.1 Case selection and the use of enforcement powers
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EG 15.4 Disqualification under section 249 or section 261K
As Published: 2016
EG 15.4 Disqualification under section 249 or section 261K
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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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DTR 1.1 Application and purpose (Disclosure guidance)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure guidance)
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LR 6.11 Specialist companies: scientific research based companies
As Published: 2017
LR 6.11 Specialist companies: scientific research based companies
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REC 4.6A The section 192C power to direct qualifying parent undertakings
As Published: 2013
REC 4.6A The section 192C power to direct qualifying parent undertakings
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COBS 16.4 Statements of client designated investments or client money
As Published: 2007
COBS 16.4 Statements of client designated investments or client money
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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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CASS 11.4 Definition of client money and the discharge of fiduciary duty
As Published: 2014
CASS 11.4 Definition of client money and the discharge of fiduciary duty
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CONC 3.7A Financial promotions and communications: P2P agreements
As Published: 2016
CONC 3.7A Financial promotions and communications: P2P agreements
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CONC 4.4 Pre-contractual requirements: credit brokers
As Published: 2014
CONC 4.4 Pre-contractual requirements: credit brokers
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