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BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]
As Published: 2015
CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]
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MIPRU 4.2D Liquidity resources requirements
As Published: 2013
MIPRU 4.2D Liquidity resources requirements
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SYSC 13.4 Requirements to notify the appropriate regulator
As Published: 2016
SYSC 13.4 Requirements to notify the appropriate regulator
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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EG 5.1 Settlement and the FCA – an overview
As Published: 2016
EG 5.1 Settlement and the FCA – an overview
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EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
As Published: 2016
EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
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EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
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EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
As Published: 2016
EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
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EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
As Published: 2016
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
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REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
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