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SUP 15.14 Notifications under the Payment Services Regulations
As Published: 2018
SUP 15.14 Notifications under the Payment Services Regulations
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REC 4.2D Suspension and removal of financial instruments from trading by the FCA
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
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DISP App 3.2 The assessment of a complaint
As Published: 2017
DISP App 3.2 The assessment of a complaint
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INSPRU 8.2 Special provisions for Lloyd's
As Published: 2009
INSPRU 8.2 Special provisions for Lloyd's
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
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COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2013
COLL 7.5 Schemes or sub-funds that are not commercially viable
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CONC 6.6 Pawn broking: conduct of business
As Published: 2014
CONC 6.6 Pawn broking: conduct of business
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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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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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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SYSC 13.3 Other related Handbook sections
As Published: 2007
SYSC 13.3 Other related Handbook sections
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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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