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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

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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 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

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MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

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EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

As Published: 2016

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

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LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

REC 4.5 FCA supervision of action by UK RIEs under their default rules

SUP 3.4 Auditors' qualifications

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

SUP 16.7A Annual report and accounts

REC 3.14 Products, services and normal hours of operation

ICOBS 3.2 E-Commerce

LR 2.2 Requirements for all securities

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

LR 9.2 Requirements with continuing application

DTR 2.2 Disclosure of inside information

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

PERG 5.11 Other aspects of exclusions

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach