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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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PERG 2.11 Persons who are exempt for credit-related regulated activities
As Published: 2007
PERG 2.11 Persons who are exempt for credit-related regulated activities
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SUP 15.14 Notifications under the Payment Services Regulations
As Published: 2018
SUP 15.14 Notifications under the Payment Services Regulations
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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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CASS 6.7 Treatment of custody assets after a failure
As Published: 2017
CASS 6.7 Treatment of custody assets after a failure
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DISP App 3.3 The approach to considering evidence at step 1
As Published: 2017
DISP App 3.3 The approach to considering evidence at step 1
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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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PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
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BIPRU 4.10 The IRB approach: Credit risk mitigation
As Published: 2006
BIPRU 4.10 The IRB approach: Credit risk mitigation
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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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