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REC 3.17 Inability to discharge regulatory functions
As Published: 2001
REC 3.17 Inability to discharge regulatory functions
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SUP 3.7 Notification of matters raised by auditor
As Published: 2004
SUP 3.7 Notification of matters raised by auditor
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COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
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SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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MAR 5.3 Notification of establishment of an ATS
As Published: 2004
MAR 5.3 Notification of establishment of an ATS
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LR 17.2 Requirements for listing and listing applications
As Published: 2005
LR 17.2 Requirements for listing and listing applications
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SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
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COND 2.4 Threshold condition 4: Adequate resources
As Published: 2004
COND 2.4 Threshold condition 4: Adequate resources
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REC 4.7 The section 297 power to revoke recognition
As Published: 2001
REC 4.7 The section 297 power to revoke recognition
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