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SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

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PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

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LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

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CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

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REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

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DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

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MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

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CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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SYSC 22.9 Records

As Published: 2016

SYSC 22.9 Records

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

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SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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EG 2.7 Sources of cases

As Published: 2016

EG 2.7 Sources of cases

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DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

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REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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