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CONC 6.8 Post contract business practices: credit brokers
As Published: 2014
CONC 6.8 Post contract business practices: credit brokers
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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REC 1.2 Purpose, status and quotations, notes or references
As Published: 2004
REC 1.2 Purpose, status and quotations, notes or references
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COLL 9.4 Facilities in the United Kingdom for schemes recognised under section 272 of the Act
As Published: 2011
COLL 9.4 Facilities in the United Kingdom for schemes recognised under section 272 of the Act
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
As Published: 2007
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
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SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
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SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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