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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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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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PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?
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IPRU-INV 5.7 Qualifying property and qualifying undertakings
As Published: 2016
IPRU-INV 5.7 Qualifying property and qualifying undertakings
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FEES 2.2 Late Payments and Recovery of Unpaid Fees
As Published: 2006
FEES 2.2 Late Payments and Recovery of Unpaid Fees
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SUP 18.3 Insurance business transfers outside the United Kingdom
As Published: 2015
SUP 18.3 Insurance business transfers outside the United Kingdom
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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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 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
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EG 19.30 The Mortgage Credit Directive Order
As Published: 2016
EG 19.30 The Mortgage Credit Directive Order
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