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TC App 3.1 Circumstances in which TC does not apply
As Published: 2007
TC App 3.1 Circumstances in which TC does not apply
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EG 2.15 Decision making in the context of regulatory enforcement action
As Published: 2016
EG 2.15 Decision making in the context of regulatory enforcement action
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EG 16.1 The FCA’s general approach to making disapplication orders
As Published: 2016
EG 16.1 The FCA’s general approach to making disapplication orders
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
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REC 2.16B Operation of a data reporting service
As Published: 2017
REC 2.16B Operation of a data reporting service
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CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
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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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DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
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SYSC 13.3 Other related Handbook sections
As Published: 2007
SYSC 13.3 Other related Handbook sections
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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