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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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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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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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IPRU-INV 5.8 Calculation of own funds and liquid capital
As Published: 2016
IPRU-INV 5.8 Calculation of own funds and liquid capital
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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REC 2.12 Availability of relevant information and admission of financial instruments to trading
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading
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EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
As Published: 2016
EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)
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CONC 6.2 Assessment of creditworthiness: during agreement [deleted]
As Published: 2014
CONC 6.2 Assessment of creditworthiness: during agreement [deleted]
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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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