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PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
As Published: 2017
PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
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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 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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SUP 12.7 Notification and reporting requirements
As Published: 2002
SUP 12.7 Notification and reporting requirements
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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BIPRU 11.5 Technical criteria on disclosure: General requirements
As Published: 2007
BIPRU 11.5 Technical criteria on disclosure: General requirements
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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
As Published: 2007
MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral
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ICOBS 6.1 Providing product information to customers: general
As Published: 2007
ICOBS 6.1 Providing product information to customers: general
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS
As Published: 2015
IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS
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COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
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SUP 16.16 Prudent valuation reporting [deleted]
As Published: 2012
SUP 16.16 Prudent valuation reporting [deleted]
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EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011
As Published: 2016
EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011
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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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BIPRU 4.6 The IRB approach: Retail exposures
As Published: 2007
BIPRU 4.6 The IRB approach: Retail exposures
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