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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2001
REC 3.5 Disciplinary action and events relating to key individuals
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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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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
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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 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
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DISP 1.3 Internal complaint handling procedures: additional requirements
As Published: 2003
DISP 1.3 Internal complaint handling procedures: additional requirements
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PERG 7.3 Does the activity require authorisation?
As Published: 2005
PERG 7.3 Does the activity require authorisation?
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