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REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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EG 20.3 Decision making under the CCA Order
As Published: 2016
EG 20.3 Decision making under the CCA Order
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SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
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MCOB 4.4A Initial disclosure requirements
As Published: 2012
MCOB 4.4A Initial disclosure requirements
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RCB 6.2 Policy on decision and warning notices
As Published: 2008
RCB 6.2 Policy on decision and warning notices
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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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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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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)
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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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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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MAR 8.3 Requirements for benchmark administrators
As Published: 2015
MAR 8.3 Requirements for benchmark administrators
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