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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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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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DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

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PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

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LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

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DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

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PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

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IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

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MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

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IFPRU 4.6 Internal ratings based approach: probability of default

MCOB 2.8 Record keeping

CONC 3.3 The clear fair and not misleading rule and general requirements

INSPRU 3.1 Market risk in insurance

REC 6.3 Recognition requirements

PERG 8.37 AIFMD Marketing

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

EG 3.7 Investigations to assist overseas authorities (section 169)

SYSC 2.2 Recording the apportionment

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

COBS 13.6 Preparing product information: adviser and consultancy charges

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974