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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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LR 6.2 Historical financial information requirements

As Published: 2017

LR 6.2 Historical financial information requirements

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SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

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SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

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SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

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SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

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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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Similar To

REC 4.6 The section 296 power to give directions

LR 15.3 Listing applications and procedures

EG 3.3 Reports by skilled persons (section 166)

LR 19.5 Disclosures

SUP 9.4 Reliance on individual guidance

REC 5.1 Introduction and legal background

COCON 2.3 Firms: training and breaches

PERG 8.3 Financial promotion

REC 2.11 Custody

LR 6.15 Shares of a non-EEA company

SUP 13A.2 EEA firms and Treaty firms

FEES 5.2 Introduction

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration