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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
As Published: 2016
EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
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EG 4.9 Involvement of FCA supervisors during the investigation phase
As Published: 2016
EG 4.9 Involvement of FCA supervisors during the investigation phase
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EG 4.3 Notification where a particular person is not yet under investigation
As Published: 2016
EG 4.3 Notification where a particular person is not yet under investigation
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EG 3.5 Official listing investigations (section 97)
As Published: 2016
EG 3.5 Official listing investigations (section 97)
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EG 4.4 Appointment of additional investigators
As Published: 2016
EG 4.4 Appointment of additional investigators
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EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
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EG 4.5 Notice of termination of investigations
As Published: 2016
EG 4.5 Notice of termination of investigations
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EG 15.4 Disqualification under section 249 or section 261K
As Published: 2016
EG 15.4 Disqualification under section 249 or section 261K
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EG 4.6 What a subject of investigation can say to third parties
As Published: 2016
EG 4.6 What a subject of investigation can say to third parties
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EG 2.3 Case selection: Threshold Conditions cases
As Published: 2016
EG 2.3 Case selection: Threshold Conditions cases
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EG 12.4 Liaison with other prosecuting authorities
As Published: 2016
EG 12.4 Liaison with other prosecuting authorities
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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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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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