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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
As Published: 2016
EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
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COBS 4.5 Communicating with retail clients (non-MiFID provisions)
As Published: 2008
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
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