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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
As Published: 2015
EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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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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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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CASS 5.2 Holding money as agent of an insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of an insurance undertaking
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MCOB 11.6 Responsible lending and financing
As Published: 2012
MCOB 11.6 Responsible lending and financing
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PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
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PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
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PERG 10.4A The application of requirements which implemented EU directives
As Published: 2006
PERG 10.4A The application of requirements which implemented EU directives
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COBS 11.8 Recording telephone conversations and electronic communications [deleted]
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
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IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
As Published: 2016
IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
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