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EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

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LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

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CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

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REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

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EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

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CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

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Similar To

COBS 11.5 Record keeping: client orders and transactions [deleted]

CASS 1A.1 Application

REC 3.12 Legal proceedings

LR 6.5 Controlling shareholders

EG 19.7 The Open-Ended Investment Companies Regulations 2001

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

RCB 4.2 Enforcement powers and penalties

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

SUP 16.14 Client money and asset return

PERG 7.5 When is it appropriate to apply for a certificate?

FEES App 1 Annex 1A Application Fees payable

FEES App 1 Annex 1 Periodic fees payable for the period 1 April 2018 to 31 March 2019

MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements

EG 9.6 Applications for variation or revocation of prohibition orders

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)