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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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GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
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EG 12.3 Criminal prosecutions in cases of market abuse
As Published: 2016
EG 12.3 Criminal prosecutions in cases of market abuse
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COBS 4.8 Cold calls and other promotions that are not in writing
As Published: 2007
COBS 4.8 Cold calls and other promotions that are not in writing
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MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions
As Published: 2004
MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions
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PERG 17.2 The basic elements of debt counselling
As Published: 2014
PERG 17.2 The basic elements of debt counselling
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SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
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DTR 1A.3 FCA may require the publication of information
As Published: 2012
DTR 1A.3 FCA may require the publication of information
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CONC App 1.3 Exemption of certain credit agreements secured on land
As Published: 2014
CONC App 1.3 Exemption of certain credit agreements secured on land
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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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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EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
As Published: 2016
EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
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EG 4.10 The timeframe for responding to information and document requirements
As Published: 2016
EG 4.10 The timeframe for responding to information and document requirements
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