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EG 13.6 Petitioning for compulsory winding up on just and equitable grounds
As Published: 2016
EG 13.6 Petitioning for compulsory winding up on just and equitable grounds
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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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REC 2A.2 Method of satisfying the RAP recognition requirements
As Published: 2013
REC 2A.2 Method of satisfying the RAP recognition requirements
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EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy
As Published: 2016
EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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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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