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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

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EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

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COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

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PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

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SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

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SYSC 4.7

As Published: 2015

SYSC 4.7

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COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

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SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

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COLL 9.3 Section 272 recognised schemes

As Published: 2014

COLL 9.3 Section 272 recognised schemes

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CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

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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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Similar To

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

COCON 4.1 Specific guidance on individual conduct rules

IPRU-INV 5.4 Financial resources requirement

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 10C.10 Application for approval and withdrawing an application for approval

COBS 4.12 [deleted]

COLL 8.6 Termination, suspension, and schemes of arrangement

SUP 10C.5 FCA governing functions: Executive

SUP 6.5 Ending authorisation

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]