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SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
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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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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
As Published: 2016
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
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LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
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GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
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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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REC 4.2E Information: compliance of UK recognised bodies with EU requirements
As Published: 2007
REC 4.2E Information: compliance of UK recognised bodies with EU requirements
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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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EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
As Published: 2016
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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