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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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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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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

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SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

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SYSC 18.4 The whistleblowers’ champion

As Published: 2015

SYSC 18.4 The whistleblowers’ champion

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SUP App 3.3 Background

PERG 5.11 Other aspects of exclusions

APER 3.1 Introduction

GENPRU 3.1 Application

SUP 16.19 Immigration Act compliance reporting

SYSC 4.5

SUP 10C.9 Minimising overlap with the PRA approved persons regime

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

EG 2.5 Cases where other authorities have an interest

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

BIPRU 9.4 Traditional securitisation

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration