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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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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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SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
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PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
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COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]
As Published: 2016
EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2013
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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