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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

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IFPRU 8.2 Large Exposures

As Published: 2014

IFPRU 8.2 Large Exposures

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LR 9.4 Documents requiring prior approval

As Published: 2005

LR 9.4 Documents requiring prior approval

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SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

As Published: 2015

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

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REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

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DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

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EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

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APER 3.1 Introduction

REC 2.5 Systems and controls and conflicts

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COLL 8.5 Powers and responsibilities

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CASS 1A.3 Responsibility for CASS operational oversight

GENPRU 3.2 Third-country groups

DEPP 8.2 Use of the own-initiative variation of approval power: general

COLL 6.12 Risk management policy and risk measurement

DEPP 7.2 Interviews

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach