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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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EG 19.6 Regulated Activities Order 2001 (RAO)
As Published: 2016
EG 19.6 Regulated Activities Order 2001 (RAO)
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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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COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
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CONC 4.2 Pre-contract disclosure and adequate explanations
As Published: 2014
CONC 4.2 Pre-contract disclosure and adequate explanations
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BIPRU 12.5 Individual Liquidity Adequacy Standards
As Published: 2019
BIPRU 12.5 Individual Liquidity Adequacy Standards
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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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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SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
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BIPRU 2.2 Internal capital adequacy standards
As Published: 2006
BIPRU 2.2 Internal capital adequacy standards
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COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
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