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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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SUP 16.24 Retirement income data reporting
As Published: 2017
SUP 16.24 Retirement income data reporting
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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 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
As Published: 2007
SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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BIPRU 4.10 The IRB approach: Credit risk mitigation
As Published: 2006
BIPRU 4.10 The IRB approach: Credit risk mitigation
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MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
As Published: 2015
DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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