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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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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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MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

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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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SUP 10A.3 Provisions related to the Act

As Published: 2020

SUP 10A.3 Provisions related to the Act

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EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

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EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

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SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

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Similar To

GENPRU 3.1 Application

EG 4.11 Approach to interviews and interview procedures

FIT 2.1 Honesty, integrity and reputation

RCB 3.2 Annual confirmations of compliance and asset pool monitor

DEPP 6.5A The five steps for penalties imposed on firms

REC 2A.4 Power and procedure for RAP penalties and censures

PERG 8.4 Invitation or inducement

LR 8.6 Criteria for approval as a sponsor

LR 5.2 Cancelling listing

BIPRU 3.2 The central principles of the standardised approach to credit risk

FEES 3.2 Obligation to pay fees

DEPP 7.1 Application and purpose

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]