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REC 1.2 Purpose, status and statutoryquotations
As Published: 2004
REC 1.2 Purpose, status and statutoryquotations
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REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
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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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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2004
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
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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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COND 2.1 Threshold condition 1: Legal status
As Published: 2002
COND 2.1 Threshold condition 1: Legal status
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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
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