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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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REC 3.4 Members of the management body and internal organisation
As Published: 2007
REC 3.4 Members of the management body and internal organisation
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SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
As Published: 2007
SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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SYSC 22.5 Giving references: additional rules and guidance for all firms
As Published: 2016
SYSC 22.5 Giving references: additional rules and guidance for all firms
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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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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