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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

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DTR 4.3A Reports on payments to governments

As Published: 2014

DTR 4.3A Reports on payments to governments

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SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

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LR 20.4 Continuing obligations

As Published: 2016

LR 20.4 Continuing obligations

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REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

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CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

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REC 3.11 Insolvency events

As Published: 2013

REC 3.11 Insolvency events

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REC 4.2F Information gathering power on FCA’s own initiative

CASS 11.3 Responsibility for CASS operational oversight

REC 6.8 Powers to supervise

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

COND 1.3 General

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

SYSC 22.8 Policies and appointed representatives

PERG 4.11 Link between activities and the United Kingdom

FEES 9.2 PSR fees

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

SUP App 2.15 Run-off plans for closed with-profits funds

REC 6.3 Recognition requirements

LR 19.5 Disclosures

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products