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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 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

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REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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Similar To

CASS 10.1 Application, purpose and general provisions

SUP 15.8 Notification in respect of particular products and services

SYSC 6.3 Financial crime

PERG 8.4 Invitation or inducement

DEPP 6.5A The five steps for penalties imposed on firms

CASS 7A.2 Primary pooling events

RCB 6.2 Policy on decision and warning notices

DTR 8.2 Approval as a primary information provider

CASS 6.4 Use of safe custody assets

PERG 2.2 Introduction

EG 9.8 The effect of the FCA's decision to make a prohibition order

CASS 8.3 Records and internal controls

EG 19.6 Regulated Activities Order 2001 (RAO)

CONC 7.6 Exercise of continuous payment authority

SYSC 19C.3 Remuneration principles

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 10A.9 Significant management functions [deleted]

REC 6.3 Recognition requirements

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases