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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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DEPP 3.1 The Regulatory Decisions Committee
As Published: 2007
DEPP 3.1 The Regulatory Decisions Committee
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SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
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SUP 10C.12 Conditional and time-limited approvals
As Published: 2015
SUP 10C.12 Conditional and time-limited approvals
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EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy
As Published: 2016
EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
As Published: 2015
SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
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SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
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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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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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