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DTR 5.9 Filing of information with competent authority
As Published: 2007
DTR 5.9 Filing of information with competent authority
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
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BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations
As Published: 2010
BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations
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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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DTR 1A.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FCA
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