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SUP 10C.5 FCA governing functions: Executive
As Published: 2015
SUP 10C.5 FCA governing functions: Executive
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PERG 4.9 Agreeing to carry on a regulated activity
As Published: 2005
PERG 4.9 Agreeing to carry on a regulated activity
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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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LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
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IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM
As Published: 2015
IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
As Published: 2015
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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REC 2.7A Position management and position reporting in relation to commodity derivatives
As Published: 2017
REC 2.7A Position management and position reporting in relation to commodity derivatives
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TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
As Published: 2007
TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
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EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
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