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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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LR 1.2 Modifying rules and consulting the FCA
As Published: 2010
LR 1.2 Modifying rules and consulting the FCA
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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LR 6.3 Revenue earning track record requirement
As Published: 2017
LR 6.3 Revenue earning track record requirement
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CREDS 7.2 General requirements concerning lending policy
As Published: 2012
CREDS 7.2 General requirements concerning lending policy
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COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
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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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DTR 5.7 Notification of combined holdings
As Published: 2009
DTR 5.7 Notification of combined holdings
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EG 6.1 Publicity during FCA investigations
As Published: 2016
EG 6.1 Publicity during FCA investigations
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