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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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DEPP 1.2 Introduction to statutory notices
As Published: 2011
DEPP 1.2 Introduction to statutory notices
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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
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REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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