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EG 19.6 Regulated Activities Order 2001 (RAO)
As Published: 2016
EG 19.6 Regulated Activities Order 2001 (RAO)
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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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REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
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SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
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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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CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
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DTR 1.1 Application and purpose (Disclosure guidance)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure guidance)
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SYSC 22.8 Policies and appointed representatives
As Published: 2016
SYSC 22.8 Policies and appointed representatives
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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
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MCOB 7A.4 Foreign currency loans and significant exchange-rate movement disclosure
As Published: 2016
MCOB 7A.4 Foreign currency loans and significant exchange-rate movement disclosure
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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