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461 - 480 of 585 items.
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 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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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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DISP 3.7 Delegation of the Ombudsman's powers
As Published: 2002
DISP 3.7 Delegation of the Ombudsman's powers
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PERG 4.11 Link between activities and the United Kingdom
As Published: 2005
PERG 4.11 Link between activities and the United Kingdom
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