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DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

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SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

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CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

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CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

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DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

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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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REC 1.1 Application

As Published: 2005

REC 1.1 Application

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SUP 3.2 Purpose

As Published: 2001

SUP 3.2 Purpose

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PERG 5.3 Contracts of insurance

As Published: 2015

PERG 5.3 Contracts of insurance

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EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

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PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

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DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

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Similar To

SYSC 14.1 Application

SUP 10C.2 Purpose

EG 9.4 Prohibition orders against exempt persons and members of professional firms

REC 6.8 Powers to supervise

SYSC 4 Annex 1

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

PERG 15.5 Negative scope/exclusions

REC 3.24 Transfers of ownership

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures