Search Result
Annual Financial Report for certain listed companies [deleted]
As Published: 2019
Annual Financial Report for certain listed companies [deleted]
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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SUP 8A.1 Application, purpose and interpretation
As Published: 2014
SUP 8A.1 Application, purpose and interpretation
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SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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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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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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