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DEPP 4.2 Urgent statutory notice cases [deleted]
As Published: 2011
DEPP 4.2 Urgent statutory notice cases [deleted]
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EG 19.20 Payment Services Regulations 2017
As Published: 2016
EG 19.20 Payment Services Regulations 2017
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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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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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DTR 8.2 Approval as a primary information provider
As Published: 2019
DTR 8.2 Approval as a primary information provider
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SUP 16.24 Retirement income data reporting
As Published: 2017
SUP 16.24 Retirement income data reporting
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2013
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
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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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SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
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CASS 11.11 Records, accounts and reconciliations
As Published: 2014
CASS 11.11 Records, accounts and reconciliations
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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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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