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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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SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

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CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

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REC 1.2 Purpose, status and quotations, notes or references

As Published: 2004

REC 1.2 Purpose, status and quotations, notes or references

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REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

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MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

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REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

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MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

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LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

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SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

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SUP 3.2 Purpose

As Published: 2001

SUP 3.2 Purpose

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REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

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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 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

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SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

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SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

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FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

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APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

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REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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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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