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MAR 5.3A Systems and controls for algorithmic trading
As Published: 2017
MAR 5.3A Systems and controls for algorithmic trading
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EG 2.9 FCA guidance and supporting materials
As Published: 2016
EG 2.9 FCA guidance and supporting materials
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COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
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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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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
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SUP 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
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CASS 11.4 Definition of client money and the discharge of fiduciary duty
As Published: 2014
CASS 11.4 Definition of client money and the discharge of fiduciary duty
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