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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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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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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]
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EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
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SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
As Published: 2007
SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
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SUP 16.19 Immigration Act compliance reporting
As Published: 2014
SUP 16.19 Immigration Act compliance reporting
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PERG 2.8 Exclusions applicable to particular regulated activities
As Published: 2005
PERG 2.8 Exclusions applicable to particular regulated activities
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CASS 5.2 Holding money as agent of an insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of an insurance undertaking
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LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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