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FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

…

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

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REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

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FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

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REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

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DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

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IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

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DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

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MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

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MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

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MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

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PERG 2.6 Specified investments: a broad outline

As Published: 2005

PERG 2.6 Specified investments: a broad outline

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PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

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CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

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CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

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CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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CREDS 7.2 General requirements concerning lending policy

As Published: 2012

CREDS 7.2 General requirements concerning lending policy

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REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

…

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Similar To

FIT 1.3 Assessing fitness and propriety

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

REC 4.8 The section 298 procedure

FEES 2.1 Introduction

REC 2.2 Method of satisfying the recognition requirements

DISP 1.3 Complaints handling rules

IFPRU 1.2 Significant IFPRU firm

DISP 1.6 Complaints time limit rules

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

MAR 5.10 Operation of an SME growth market

PERG 2.6 Specified investments: a broad outline

PERG 2.3 The business element

CASS 6.1 Application

CASS 1A.2 CASS firm classification

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

CASS 7A.2 Primary pooling events

DEPP 4.1 Executive decision maker

CREDS 7.2 General requirements concerning lending policy

REC 6.5 FCA decision on recognition