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EG 5.7 The relevance of settled cases to subsequent action
As Published: 2016
EG 5.7 The relevance of settled cases to subsequent action
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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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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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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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PERG 13.7 The territorial application of MiFID [deleted]
As Published: 2007
PERG 13.7 The territorial application of MiFID [deleted]
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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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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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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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COBS 14.4 Provision of information by an intermediate Unitholder
As Published: 2011
COBS 14.4 Provision of information by an intermediate Unitholder
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