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COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
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EG 9.7 Other powers that may be relevant when the FCA is considering whether to exercise its power to make a prohibition order
As Published: 2016
EG 9.7 Other powers that may be relevant when the FCA is considering whether to exercise its power to make a prohibition order
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REC 4.6 The section 296 power to give directions
As Published: 2007
REC 4.6 The section 296 power to give directions
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EG 2.1 Case selection and the use of enforcement powers
As Published: 2016
EG 2.1 Case selection and the use of enforcement powers
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2019
PERG 16.5 How AIFMD affects other regulated activities
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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SUP 16.24 Retirement income data reporting
As Published: 2017
SUP 16.24 Retirement income data reporting
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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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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
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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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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
As Published: 2016
EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up
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