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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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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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EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)
As Published: 2016
EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)
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SUP 1A.3 The FCA's approach to supervision
As Published: 2019
SUP 1A.3 The FCA's approach to supervision
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
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SUP 15.14 Notifications under the Payment Services Regulations
As Published: 2018
SUP 15.14 Notifications under the Payment Services Regulations
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CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
As Published: 2016
CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
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