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PERG 4.14 Mortgage activities carried on by professional firms
As Published: 2019
PERG 4.14 Mortgage activities carried on by professional firms
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BIPRU 14.2 Calculation of the capital requirement for CCR
As Published: 2006
BIPRU 14.2 Calculation of the capital requirement for CCR
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SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
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COBS 20.3 Principles and Practices of Financial Management
As Published: 2008
COBS 20.3 Principles and Practices of Financial Management
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SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
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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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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
As Published: 2017
COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS
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SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
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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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