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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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SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

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Similar To

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

SUP 11.5 Notifications by firms

SYSC 19A.3 Remuneration principles for IFPRU investment firms

SUP 16.1 Application

FEES 10.1 Application, purpose and background

SUP 10C.12 Conditional and time-limited approvals

COND 2.3 Effective supervision

COLL 4.2 Pre-sale notifications

PR 2.1 General contents of prospectus

APER 1.1A Application

COND 2.5 Suitability

REC 6.7 Notification rules for overseas recognised bodies

SUP 11.8 Changes in the circumstances of existing controllers

DTR 8.5 Supervision of primary information providers

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

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

SUP 3.10 Duties of auditors: notification and report on client assets

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

EG 19.22 Decision making under the Payment Services Regulations