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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

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LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

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CASS 7.19 Clearing member client money sub-pools

EG 15.1 Introduction

LR 8.4 Role of a sponsor: transactions

SUP 15.14 Notifications under the Payment Services Regulations

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

SUP 12.5 Contracts: required terms

EG 7.1 The FCA’s use of sanctions

COLL 11.5 Auditors

LR 4.2 Contents and format of listing particulars

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

DEPP 1.2 Introduction to statutory notices

EG 4.5 Notice of termination of investigations

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

SUP 8.3 Applying for a waiver

EG 15.4 Disqualification under section 249 or section 261K

RCB 4.2 Enforcement powers and penalties

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

SUP 10C.11 Statements of responsibilities

LR 4.3 Approval and publication of listing particulars