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GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

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PERG 17.5 The meaning of advice

As Published: 2014

PERG 17.5 The meaning of advice

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LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

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DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

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MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

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REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

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DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

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PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

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LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

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LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

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EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

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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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COBS 19.2 Personal pensions, FSAVCs and AVCs

As Published: 2007

COBS 19.2 Personal pensions, FSAVCs and AVCs

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PERG 7.4 Does the article 54 exclusion apply?

As Published: 2006

PERG 7.4 Does the article 54 exclusion apply?

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DTR 7.2 Corporate governance statements

As Published: 2010

DTR 7.2 Corporate governance statements

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DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

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LR 12.5 Purchase of own securities other than equity shares

As Published: 2007

LR 12.5 Purchase of own securities other than equity shares

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CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

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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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GEN 6.1 Payment of financial penalties

PERG 17.5 The meaning of advice

LR 13.2 Approval of circulars

DISP 1.11 The Society of Lloyd's

MAR 1.4 Unlawful disclosure

REC 2.11 Custody

DISP 4.2 Standard terms

PR 5.6 Miscellaneous

LR 6.14 Shares in public hands

LR 5.2 Cancelling listing

EG 9.2 The FCA’s general policy in this area

EG 12.3 Criminal prosecutions in cases of market abuse

COBS 19.2 Personal pensions, FSAVCs and AVCs

PERG 7.4 Does the article 54 exclusion apply?

DTR 7.2 Corporate governance statements

DTR 5.4 Aggregation of managed holdings

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

LR 12.5 Purchase of own securities other than equity shares

CASS 7A.3 Secondary pooling events

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms