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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
As Published: 2017
MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver
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COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
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MAR 6.4A Quotes in respect of non-equity instruments
As Published: 2017
MAR 6.4A Quotes in respect of non-equity instruments
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SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
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SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2016
SYSC 13.4 Requirements to notify the appropriate regulator
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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DTR 1.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1.2 Modifying rules and consulting the FCA
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EG 20.2 Information gathering and investigation powers
As Published: 2016
EG 20.2 Information gathering and investigation powers
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