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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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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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EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
As Published: 2016
EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
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SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
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ICOBS 4.1 General requirements for insurance intermediaries and insurers
As Published: 2007
ICOBS 4.1 General requirements for insurance intermediaries and insurers
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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
As Published: 2016
EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
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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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BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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