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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
As Published: 2017
MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
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PERG 15.4 Small payment institutions, agents and exempt bodies
As Published: 2011
PERG 15.4 Small payment institutions, agents and exempt bodies
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EG 19.15 The conduct of investigations under the Money Laundering Regulations
As Published: 2016
EG 19.15 The conduct of investigations under the Money Laundering Regulations
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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EG 9.4 Prohibition orders against exempt persons and members of professional firms
As Published: 2016
EG 9.4 Prohibition orders against exempt persons and members of professional firms
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DISP App 3.10 Application: evidential provisions and guidance
As Published: 2017
DISP App 3.10 Application: evidential provisions and guidance
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COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC
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SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
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COBS 14.3 Information about designated investments (non-MiFID provisions)
As Published: 2007
COBS 14.3 Information about designated investments (non-MiFID provisions)
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