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CASS 11.11 Records, accounts and reconciliations
As Published: 2014
CASS 11.11 Records, accounts and reconciliations
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SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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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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EG 3.3 Reports by skilled persons (section 166)
As Published: 2016
EG 3.3 Reports by skilled persons (section 166)
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
As Published: 2007
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
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SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10A.13 Application for approval and withdrawing an application for approval
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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SUP 4.5 Provisions applicable to all actuaries
As Published: 2004
SUP 4.5 Provisions applicable to all actuaries
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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