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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
As Published: 2003
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
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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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COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2005
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
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FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
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SUP 12.8 Termination of a relationship with an appointed representative
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative
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REC 3.20 Disciplinary action relating to members
As Published: 2001
REC 3.20 Disciplinary action relating to members
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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