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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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EG 19.22 Decision making under the Payment Services Regulations
As Published: 2016
EG 19.22 Decision making under the Payment Services Regulations
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COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
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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 10A.12 Procedures relating to FCA-approved persons
As Published: 2014
SUP 10A.12 Procedures relating to FCA-approved persons
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]
As Published: 2016
EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]
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CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses
As Published: 2014
CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2013
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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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 11.2 Guidance on property investment clubs
As Published: 2013
PERG 11.2 Guidance on property investment clubs
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REC 3.5 Disciplinary action and events relating to members of the management body
As Published: 2013
REC 3.5 Disciplinary action and events relating to members of the management body
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