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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 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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MCOB 1.2 General application: who? what?
As Published: 2005
MCOB 1.2 General application: who? what?
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PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
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COBS 11.5 Record keeping: client orders and transactions [deleted]
As Published: 2017
COBS 11.5 Record keeping: client orders and transactions [deleted]
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
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IFPRU 10.6 Application on an individual and consolidated basis
As Published: 2014
IFPRU 10.6 Application on an individual and consolidated basis
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CONC App 1.2 Total charge for credit rules for other agreements
As Published: 2015
CONC App 1.2 Total charge for credit rules for other agreements
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CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit
As Published: 2015
CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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