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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
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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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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
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DTR 6.2 Filing information and use of language
As Published: 2012
DTR 6.2 Filing information and use of language
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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EG 19.20 Payment Services Regulations 2009
As Published: 2016
EG 19.20 Payment Services Regulations 2009
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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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DEPP 6A.2 Deciding whether to take action
As Published: 2013
DEPP 6A.2 Deciding whether to take action
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