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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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BIPRU 2.3 Interest rate risk in the non-trading book

As Published: 2006

BIPRU 2.3 Interest rate risk in the non-trading book

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COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

As Published: 2007

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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SUP 11.7 Acquisition or increase of control: assessment process and criteria

As Published: 2004

SUP 11.7 Acquisition or increase of control: assessment process and criteria

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COLL 4.4 Meetings of Unitholders and service of notices

As Published: 2006

COLL 4.4 Meetings of Unitholders and service of notices

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CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

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REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

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EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974