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LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

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EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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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)

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EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

As Published: 2016

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

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SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

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COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

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COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

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LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

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COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

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FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

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PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

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PERG 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

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SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

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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 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

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CONC 7.11 Disclosures relating to “authority” or “status”

As Published: 2014

CONC 7.11 Disclosures relating to “authority” or “status”

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TC App 6.1 Accredited bodies

As Published: 2011

TC App 6.1 Accredited bodies

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SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

…

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LR 5.6 Reverse takeovers

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

LR 8.7 Supervision of sponsors

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

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

SUP 3.1 Application

COBS 3.2 Clients

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

LR 10.8 Miscellaneous

COCON 4.2 Specific guidance on senior manager conduct rules

FEES 6.5A The retail pool

PR 1.2 Requirement for a prospectus and exemptions

PERG 5.13 Appointed representatives

SUP 10C.7 Other overall responsibility function (SMF18)

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

COLL 7.7 UCITS mergers

CONC 7.11 Disclosures relating to “authority” or “status”

TC App 6.1 Accredited bodies

SUP 16.13 Reporting under the Payment Services Regulations

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives