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PERG 8.11 Types of exemption under the Financial Promotion Order
As Published: 2005
PERG 8.11 Types of exemption under the Financial Promotion Order
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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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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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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DISP App 3.11 Obligation to write letters to certain rejected complainants
As Published: 2017
DISP App 3.11 Obligation to write letters to certain rejected complainants
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SUP App 2.7 Capital resources below the level of individual capital guidance
As Published: 2006
SUP App 2.7 Capital resources below the level of individual capital guidance
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EG 4.9 Involvement of FCA supervisors during the investigation phase
As Published: 2016
EG 4.9 Involvement of FCA supervisors during the investigation phase
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EG 4.3 Notification where a particular person is not yet under investigation
As Published: 2016
EG 4.3 Notification where a particular person is not yet under investigation
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DISP 3.9 Delegation of the Ombudsman's powers
As Published: 2003
DISP 3.9 Delegation of the Ombudsman's powers
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EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
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