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SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

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REC 3.17 Inability to discharge regulatory functions

As Published: 2013

REC 3.17 Inability to discharge regulatory functions

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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

As Published: 2016

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

…

REC 3.10 Complaints

As Published: 2013

REC 3.10 Complaints

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Effective Period

Similar To

COBS 18.11 Authorised professional firms

PERG 10.4 Pension scheme service providers other than trustees

ICOBS 5.3 Advised sales

PERG 12.3 Rights under a personal pension scheme

COND 2.3 Effective supervision

PERG 5.8 The regulated activities: advising on contracts of insurance

COBS 9.2 Assessing suitability

SUP 11.8 Changes in the circumstances of existing controllers

DTR 1A.3 FCA may require the publication of information

SUP 14.4 Notices of proposed changes: form and delivery

REC 4.6 The section 296 power to give directions

EG 2.4 Case selection: Unauthorised business

REC 2A.2 Method of satisfying the RAP recognition requirements

MAR 4.1 Application and Purpose

EG 10.1 Introduction

PERG 16.4 Acting as a depositary of an AIF

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

REC 3.17 Inability to discharge regulatory functions

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

REC 3.10 Complaints