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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
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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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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
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EG 3.10 Liaison where other authorities have an interest
As Published: 2016
EG 3.10 Liaison where other authorities have an interest
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EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
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