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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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PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
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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]
As Published: 2016
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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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974
As Published: 2016
EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974
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EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
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DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
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COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
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TC App 7.1 Guidelines for qualification gap-fill for retail investment advice
As Published: 2011
TC App 7.1 Guidelines for qualification gap-fill for retail investment advice
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REC 4.6A The section 192C power to direct qualifying parent undertakings
As Published: 2013
REC 4.6A The section 192C power to direct qualifying parent undertakings
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