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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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COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

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EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

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EG 2.12 Co-operation

SUP 11.5 Notifications by firms

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

SUP 8.9 Decision making

EG 4.13 Preliminary findings letters and preliminary investigation reports

BIPRU 7.9 Use of a CAD 1 model

SUP 15.13 Notification by CBTL firms

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

REC 4.5 FCA supervision of action by UK RIEs under their default rules

REC 4.4 Complaints

PRIN 1.1 Application and purpose

DEPP 6.7 Discount for early settlement

EG 2.11 Senior management responsibility

REC 6.8 Powers to supervise

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

APER 4.6 Statement of Principle 6

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

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]

COCON 4.1 Specific guidance on individual conduct rules

EG 10.4 Other relevant powers