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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
As Published: 2007
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
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BIPRU 12.5 Individual Liquidity Adequacy Standards
As Published: 2019
BIPRU 12.5 Individual Liquidity Adequacy Standards
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MAR 5.6A Suspension and removal of financial instruments
As Published: 2017
MAR 5.6A Suspension and removal of financial instruments
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IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS
As Published: 2019
IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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BIPRU 4.2 The IRB approach: High level material
As Published: 2006
BIPRU 4.2 The IRB approach: High level material
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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
As Published: 2016
EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
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SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10A.13 Application for approval and withdrawing an application for approval
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SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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