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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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SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2006
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
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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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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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SUP 13.8 Changes of details: provision of notices to the FSA
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the FSA
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MCOB 9.7 Disclosure at the start of the contract
As Published: 2004
MCOB 9.7 Disclosure at the start of the contract
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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DISP 3.3 Dismissal of complaints without consideration of the merits
As Published: 2004
DISP 3.3 Dismissal of complaints without consideration of the merits
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COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2004
COLL 7.5 Schemes or sub-funds that are not commercially viable
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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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REC 2.12 Proper markets and disclosure of information (UK RIEs only)
As Published: 2004
REC 2.12 Proper markets and disclosure of information (UK RIEs only)
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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
As Published: 2005
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
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