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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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COBS 19.2 Personal pensions, FSAVCs and AVCs
As Published: 2007
COBS 19.2 Personal pensions, FSAVCs and AVCs
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MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
As Published: 2015
MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
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CONC 3.10 Financial promotions not in writing
As Published: 2014
CONC 3.10 Financial promotions not in writing
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MCOB 3A.2 The fair, clear and not misleading rules
As Published: 2015
MCOB 3A.2 The fair, clear and not misleading rules
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CASS 1.4 Application: particular activities
As Published: 2007
CASS 1.4 Application: particular activities
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
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LR 15.6 Notifications and periodic financial information
As Published: 2007
LR 15.6 Notifications and periodic financial information
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COLL 6.6A Duties of AFMs in relation to UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes
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PERG 4.9 Agreeing to carry on a regulated activity
As Published: 2005
PERG 4.9 Agreeing to carry on a regulated activity
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MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
As Published: 2017
MAR 5AA.1 Operation of a multilateral system as an MTF or OTF
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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