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FEES 11.2 Pensions guidance providers’ levy
As Published: 2015
FEES 11.2 Pensions guidance providers’ levy
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COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
As Published: 2015
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
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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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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
As Published: 2016
EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
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GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
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IFPRU 4.7 Internal ratings based approach: loss given default
As Published: 2014
IFPRU 4.7 Internal ratings based approach: loss given default
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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COBS 6.1E Platform services: platform charges and using a platform service for advising
As Published: 2011
COBS 6.1E Platform services: platform charges and using a platform service for advising
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CASS 11.11 Records, accounts and reconciliations
As Published: 2014
CASS 11.11 Records, accounts and reconciliations
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