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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

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INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

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CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

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SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

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COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

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DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

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LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

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IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

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DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

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LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

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EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

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DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

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FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

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EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

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EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

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FEES 9.1 Application and purpose

As Published: 2015

FEES 9.1 Application and purpose

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COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

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