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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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REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

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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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EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

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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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PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

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PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

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DISP App 3.10 Application: evidential provisions

As Published: 2010

DISP App 3.10 Application: evidential provisions

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SUP 4.4 Appropriate actuaries

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

DISP 2.7 Is the complainant eligible?

LR 7.2 The Listing and Premium Listing Principles

REC 2.9 Transaction recording

LR 8.5 Responsibilities of listed companies

SUP 17.2 Making transaction reports

PERG 13.1 Introduction

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

IFPRU 4.6 Internal ratings based approach: probability of default

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