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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

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SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

…

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Effective Period

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

EG 20.2 Information gathering and investigation powers

EG 4.9 Involvement of FCA supervisors during the investigation phase

EG 4.3 Notification where a particular person is not yet under investigation

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MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

COLL 7.7 UCITS mergers

SUP 16.21 Reporting under the MCD Order for CBTL firms

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

COND 2.3 Effective supervision

SUP 16.6 Compliance reports