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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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COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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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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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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LR 7.2 The Listing and Premium Listing Principles
As Published: 2009
LR 7.2 The Listing and Premium Listing Principles
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IFPRU 4.3 Guidance on internal ratings based approach: high level material
As Published: 2014
IFPRU 4.3 Guidance on internal ratings based approach: high level material
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REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
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LR 15.3 Listing applications and procedures
As Published: 2010
LR 15.3 Listing applications and procedures
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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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EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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EG 6.2 Publicity during, or upon the conclusion of regulatory action
As Published: 2015
EG 6.2 Publicity during, or upon the conclusion of regulatory action
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MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
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IFPRU 11.5 Intra-group financial support
As Published: 2016
IFPRU 11.5 Intra-group financial support
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SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
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BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
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