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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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BIPRU 7.7 Position risk requirements for collective investment undertakings
As Published: 2007
BIPRU 7.7 Position risk requirements for collective investment undertakings
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LR 4.2 Contents and format of listing particulars
As Published: 2012
LR 4.2 Contents and format of listing particulars
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COBS 11.6 Use of dealing commission [deleted]
As Published: 2007
COBS 11.6 Use of dealing commission [deleted]
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BIPRU 9.14 Recognition of credit risk mitigation on securitisation positions under the IRB approach
As Published: 2007
BIPRU 9.14 Recognition of credit risk mitigation on securitisation positions under the IRB approach
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
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EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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SUP 12.7 Notification and reporting requirements
As Published: 2002
SUP 12.7 Notification and reporting requirements
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EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]
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PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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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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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
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DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
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