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LR 9.4 Documents requiring prior approval
As Published: 2021
LR 9.4 Documents requiring prior approval
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LR 5.4A Transfer between listing categories
As Published: 2009
LR 5.4A Transfer between listing categories
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PERG 8.9 Circumstances where the restriction in section 21 does not apply
As Published: 2005
PERG 8.9 Circumstances where the restriction in section 21 does not apply
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CONC 2.2 General principles for credit-related regulated activities
As Published: 2015
CONC 2.2 General principles for credit-related regulated activities
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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
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DEPP 8.5 Effects of a breach of condition or time limitation
As Published: 2015
DEPP 8.5 Effects of a breach of condition or time limitation
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EG 9.8 The effect of the FCA's decision to make a prohibition order
As Published: 2016
EG 9.8 The effect of the FCA's decision to make a prohibition order
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EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
As Published: 2016
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
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PERG 8.11 Types of exemption under the Financial Promotion Order
As Published: 2005
PERG 8.11 Types of exemption under the Financial Promotion Order
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EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
As Published: 2016
EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
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ICOBS 4.1 General requirements for insurance intermediaries and insurers
As Published: 2007
ICOBS 4.1 General requirements for insurance intermediaries and insurers
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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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