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SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
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DTR 1A.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1A.2 Modifying rules and consulting the FCA
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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SYSC 13.8 External events and other changes
As Published: 2016
SYSC 13.8 External events and other changes
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FEES App 1 Annex 3 Emergencies [deleted]
As Published: 2019
FEES App 1 Annex 3 Emergencies [deleted]
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COCON 3.1 General factors for assessing compliance
As Published: 2016
COCON 3.1 General factors for assessing compliance
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DTR 5.7 Notification of combined holdings
As Published: 2009
DTR 5.7 Notification of combined holdings
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MCOB 4.11 Sale and rent back: advising and selling standards
As Published: 2010
MCOB 4.11 Sale and rent back: advising and selling standards
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
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