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DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

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COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

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MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

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MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

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SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

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PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

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BIPRU 5.2 The central principles of credit risk mitigation

As Published: 2009

BIPRU 5.2 The central principles of credit risk mitigation

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SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

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REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

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DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

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FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

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MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

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GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

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SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

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MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

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EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

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DTR 3.1

As Published: 2005

DTR 3.1

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Similar To

DEPP 6A.1 Introduction

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

COBS 11.3 Client order handling

MAR 5.10 Operation of an SME growth market

MAR 9.1 Application, introduction, approach and structure

SUP App 3.6 Freedom to provide services

PERG 12.3 Rights under a personal pension scheme

BIPRU 5.2 The central principles of credit risk mitigation

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

REC 2.1 Introduction

DISP 2.7 Is the complainant eligible?

FEES 1.1 Application and Purpose

MIPRU 3.2 Professional indemnity insurance requirements

SUP 12.9 Record keeping

REC 2.7 Access to facilities

GEN 2.2 Interpreting the Handbook

SUP 11.4 Requirements on firms

MAR 1.4 Unlawful disclosure

EG 7.2 Alternatives to sanctions

DTR 3.1