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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 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 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy
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COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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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 10A.14 Changes to an FCA-approved person's details
As Published: 2014
SUP 10A.14 Changes to an FCA-approved person's details
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SUP 10A.9 Significant management functions [deleted]
As Published: 2014
SUP 10A.9 Significant management functions [deleted]
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MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
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EG 16.1 The FCA’s general approach to making disapplication orders
As Published: 2016
EG 16.1 The FCA’s general approach to making disapplication orders
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