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COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
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PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
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SUP 13.7 Changes to cross border services
As Published: 2001
SUP 13.7 Changes to cross border services
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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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SUP 10C.9 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10C.9 Minimising overlap with the PRA approved persons regime
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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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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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PERG 2.11 Persons who are exempt for credit-related regulated activities
As Published: 2007
PERG 2.11 Persons who are exempt for credit-related regulated activities
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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 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
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ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
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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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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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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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PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
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REC 2.5 Systems and controls and conflicts
As Published: 2004
REC 2.5 Systems and controls and conflicts
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SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
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SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
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IFPRU 2.2 Internal capital adequacy assessment process
As Published: 2014
IFPRU 2.2 Internal capital adequacy assessment process
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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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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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