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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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EG 3.5 Official listing investigations (section 97)
As Published: 2016
EG 3.5 Official listing investigations (section 97)
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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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]
As Published: 2016
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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EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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COLL 11.6 Winding up, merger and division of master UCITS
As Published: 2013
COLL 11.6 Winding up, merger and division of master UCITS
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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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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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