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IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

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IPRU-INV 5.12 Counterparty risk requirement (CRR)

As Published: 2016

IPRU-INV 5.12 Counterparty risk requirement (CRR)

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BIPRU 13.8 Securities financing transactions

As Published: 2006

BIPRU 13.8 Securities financing transactions

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COBS 16.4 Statements of client designated investments or client money

FEES 5.7 Payment

EG 7.3 FCA’s statements of policy

EG 4.4 Appointment of additional investigators

ICOBS 2.4 Record-keeping

DTR 2.7 Dealing with rumours

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LR 6.15 Shares of a third country company

EG 7.7 How a person will know they are receiving a private warning

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DTR 5.10 Use of electronic means for notifications and filing

EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011

EG 12.4 Liaison with other prosecuting authorities

DTR 5.9 Filing of information with competent authority

SUP 10C.6 FCA required functions

BIPRU 14.3 Unsettled transactions

BIPRU 14.4 Free deliveries

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

IPRU-INV 5.12 Counterparty risk requirement (CRR)

BIPRU 13.8 Securities financing transactions