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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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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 19.35 Data Reporting Services Regulations 2024
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2024
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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
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CASS 10.1 Application, purpose and general provisions
As Published: 2012
CASS 10.1 Application, purpose and general provisions
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DTR 6.2 Filing information and use of language
As Published: 2012
DTR 6.2 Filing information and use of language
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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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COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges
As Published: 2015
COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges
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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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