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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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MAR 7A.4 Requirements when providing direct electronic access
As Published: 2017
MAR 7A.4 Requirements when providing direct electronic access
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REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
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CASS 10.1 Application, purpose and general provisions
As Published: 2012
CASS 10.1 Application, purpose and general provisions
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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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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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MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity
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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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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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