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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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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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IFPRU 4.5 Internal ratings based approach: definition of default
As Published: 2014
IFPRU 4.5 Internal ratings based approach: definition of default
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
As Published: 2016
EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
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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 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
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REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
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REC 4.2E Information: compliance of UK recognised bodies with EU requirements
As Published: 2007
REC 4.2E Information: compliance of UK recognised bodies with EU requirements
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
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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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SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
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