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EG 4.13 Preliminary findings letters and preliminary investigation reports
As Published: 2016
EG 4.13 Preliminary findings letters and preliminary investigation reports
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
As Published: 2016
EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
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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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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 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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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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DEPP 2.3 Decision notices and second supervisory notices
As Published: 2013
DEPP 2.3 Decision notices and second supervisory notices
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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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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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