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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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MAR 8.3 Requirements for benchmark administrators [deleted]
As Published: 2015
MAR 8.3 Requirements for benchmark administrators [deleted]
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DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases
As Published: 2015
DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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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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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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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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SUP 12.7 Notification and reporting requirements
As Published: 2002
SUP 12.7 Notification and reporting requirements
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SUP 10A.15 References and accurate information
As Published: 2016
SUP 10A.15 References and accurate information
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