Search Result
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
As Published: 2016
EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
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EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
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SUP 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
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SYSC 22.2 Getting, giving and updating references: the main rules
As Published: 2016
SYSC 22.2 Getting, giving and updating references: the main rules
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SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
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CONC App 1.3 Exemption of certain credit agreements secured on land
As Published: 2014
CONC App 1.3 Exemption of certain credit agreements secured on land
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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SUP 16.22 Reporting under the Payment Accounts Regulations
As Published: 2016
SUP 16.22 Reporting under the Payment Accounts Regulations
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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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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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CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
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REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
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EG 4.2 Notifying the person under investigation where notice is not required under the Act
As Published: 2016
EG 4.2 Notifying the person under investigation where notice is not required under the Act
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SUP 10A.16 How to apply for approval and give notifications
As Published: 2014
SUP 10A.16 How to apply for approval and give notifications
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