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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy
As Published: 2016
EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy
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EG 5.2 When settlement decisions may take place
As Published: 2016
EG 5.2 When settlement decisions may take place
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EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
As Published: 2016
EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings
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LR 9.4 Documents requiring prior approval
As Published: 2021
LR 9.4 Documents requiring prior approval
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
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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 7.16 The standard methods of internal client money reconciliation
As Published: 2014
CASS 7.16 The standard methods of internal client money reconciliation
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SUP 16.16 Prudent valuation reporting [deleted]
As Published: 2012
SUP 16.16 Prudent valuation reporting [deleted]
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
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LR 6.3 Revenue earning track record requirement
As Published: 2017
LR 6.3 Revenue earning track record requirement
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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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DTR 1.3 Information gathering and publication
As Published: 2016
DTR 1.3 Information gathering and publication
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