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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
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EG 13.11 Applications for orders against debt avoidance: the FCA’s policy
As Published: 2016
EG 13.11 Applications for orders against debt avoidance: the FCA’s policy
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
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REC 3.4 Members of the management body and internal organisation
As Published: 2007
REC 3.4 Members of the management body and internal organisation
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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EG 2.9 FCA guidance and supporting materials
As Published: 2016
EG 2.9 FCA guidance and supporting materials
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