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EG 4.14 Joint investigations with the PRA
As Published: 2016
EG 4.14 Joint investigations with the PRA
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COBS 6.1A Adviser charging and remuneration
As Published: 2010
COBS 6.1A Adviser charging and remuneration
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
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SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
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SYSC 4.9 Handover procedures and material
As Published: 2015
SYSC 4.9 Handover procedures and material
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EG 19.9 Electronic commerce activity directions: the FCA’s policy
As Published: 2016
EG 19.9 Electronic commerce activity directions: the FCA’s policy
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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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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