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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

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REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

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DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2018

DTR 1C.2 Modifying rules and consulting the FCA

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COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

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FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

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EG 9.8 The effect of the FCA's decision to make a prohibition order

As Published: 2016

EG 9.8 The effect of the FCA's decision to make a prohibition order

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EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

As Published: 2016

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

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LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

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Similar To

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

DEPP 6A.2 Deciding whether to take action

FEES App 1.2 Periodic Fees

REC 4.4 Complaints

REC 2.16 Complaints

PRIN 1.1 Application and purpose

PERG 8.4 Invitation or inducement

LR 8.6 Criteria for approval as a sponsor

EG 19.6 Regulated Activities Order 2001 (RAO)

DEPP 2.4 Third party rights and access to FCA material

SUP 11.8 Changes in the circumstances of existing controllers

SUP App 3.6 Freedom to provide services

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]