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DTR 1.3 Information gathering and publication
As Published: 2016
DTR 1.3 Information gathering and publication
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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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 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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LR 9.7A Preliminary statement of annual results, and statement of dividends
As Published: 2006
LR 9.7A Preliminary statement of annual results, and statement of dividends
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SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
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