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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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PERG 4.3 Regulated activities related to mortgages
As Published: 2015
PERG 4.3 Regulated activities related to mortgages
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DEPP 8.2 Use of the own-initiative variation of approval power: general
As Published: 2015
DEPP 8.2 Use of the own-initiative variation of approval power: general
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
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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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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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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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EG 19.7 The Open-Ended Investment Companies Regulations 2001
As Published: 2016
EG 19.7 The Open-Ended Investment Companies Regulations 2001
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DISP App 1.2 The standard approach to redress
As Published: 2008
DISP App 1.2 The standard approach to redress
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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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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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PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
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COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
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