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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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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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SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms
As Published: 2001
SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
As Published: 2006
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
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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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SYSC 4.2 Persons who effectively direct the business
As Published: 2002
SYSC 4.2 Persons who effectively direct the business
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SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
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LR 12.5 Purchase of own securities other than equity shares
As Published: 2005
LR 12.5 Purchase of own securities other than equity shares
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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PERG 4.5 Arranging regulated mortgage contracts
As Published: 2005
PERG 4.5 Arranging regulated mortgage contracts
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