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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

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PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

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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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DTR 7.1 Audit committees

As Published: 2008

DTR 7.1 Audit committees

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PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

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SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

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EG 11.4 Determining the amount of restitution

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

EG 16.4 The effect of a disapplication order

REC 3.7 Auditors

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

SUP 10A.8 Systems and controls functions

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity

DISP App 1.1 Introduction

REC 2.16 Complaints

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

GEN 4.2 Purpose

EG 14.2 Choice of powers

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974