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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
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TC App 3.1 Circumstances in which TC does not apply
As Published: 2007
TC App 3.1 Circumstances in which TC does not apply
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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
As Published: 2016
EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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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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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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MAR 8.3 Requirements for benchmark administrators
As Published: 2015
MAR 8.3 Requirements for benchmark administrators
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
As Published: 2007
TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
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