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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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IFPRU 8.1 Prudential consolidation

As Published: 2019

IFPRU 8.1 Prudential consolidation

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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EG 19.10 Enterprise Act 2002

As Published: 2016

EG 19.10 Enterprise Act 2002

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DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

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LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

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DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

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DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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Similar To

PERG 4.1 Application and purpose

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

REC 2.11 Custody

SYSC 4.1 General requirements

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

LR 14.3 Continuing obligations

SYSC 19C.1 General application and purpose

SYSC 1.4 Application of SYSC 11 to 28

COND 2.3 Effective supervision

SUP 10A.13 Application for approval and withdrawing an application for approval

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration