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COLL 9.4 Facilities in the United Kingdom

As Published: 2011

COLL 9.4 Facilities in the United Kingdom

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COBS 4.10 Systems and controls and approving and communicating financial promotions

As Published: 2015

COBS 4.10 Systems and controls and approving and communicating financial promotions

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PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

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COND 1.3 General

As Published: 2013

COND 1.3 General

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

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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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SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

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MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

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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 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

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COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

As Published: 2008

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

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COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

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COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

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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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GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

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SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

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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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