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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

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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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APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

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EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

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REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

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SUP 11.5 Notifications by firms

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

SUP 16.24 Retirement income data reporting

SUP 8.9 Decision making

REC 4.4 Complaints

PRIN 1.1 Application and purpose

DEPP 6.7 Discount for early settlement

SUP 15.13 Notification by CBTL firms

REC 4.5 FCA supervision of action by UK RIEs under their default rules

EG 2.11 Senior management responsibility

REC 6.8 Powers to supervise

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

BIPRU 7.9 Use of a CAD 1 model

DTR 4.2 Half-yearly financial reports

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

APER 4.6 Statement of Principle 6

EG 10.4 Other relevant powers

REC 2.5 Systems and controls, algorithmic trading and conflicts