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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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PERG 2.8 Exclusions applicable to particular regulated activities
As Published: 2005
PERG 2.8 Exclusions applicable to particular regulated activities
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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EG 11.4 Determining the amount of restitution
As Published: 2016
EG 11.4 Determining the amount of restitution
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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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DTR 2.5 Delaying disclosure of inside information
As Published: 2008
DTR 2.5 Delaying disclosure of inside information
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
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SUP 12.7 Notification and reporting requirements
As Published: 2002
SUP 12.7 Notification and reporting requirements
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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
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