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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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REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

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MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

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DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

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EG 8.3 Use of the own-initiative powers

As Published: 2016

EG 8.3 Use of the own-initiative powers

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EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

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EG 4.11 Approach to interviews and interview procedures

EG 5.6 Mediation

DTR 8.5 Supervision of primary information providers

PERG 8.12 Exemptions applying to all controlled activities

SUP 5.3 Policy on the use of skilled persons

SYSC 19D.3 Remuneration principles

EG 6.4 Publicity in RDC cases

DEPP 6.5 Determining the appropriate level of financial penalty

COLL 6.12 Risk management policy and risk measurement

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

EG 12.3 Criminal prosecutions in cases of market abuse

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

SYSC 4.6

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