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DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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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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DEPP 8.2 Use of the own-initiative variation of approval power: general
As Published: 2015
DEPP 8.2 Use of the own-initiative variation of approval power: general
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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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EG 2.2 Case selection and referral criteria
As Published: 2015
EG 2.2 Case selection and referral criteria
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CASS 7.14 Client money held by a third party
As Published: 2015
CASS 7.14 Client money held by a third party
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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
As Published: 2016
EG 4.1 Notifying the person under investigation where notice is a requirement under section 170
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PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
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DTR 1C.1 Application and purpose (Primary information providers)
As Published: 2014
DTR 1C.1 Application and purpose (Primary information providers)
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EG 3.5 Official listing investigations (section 97)
As Published: 2016
EG 3.5 Official listing investigations (section 97)
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