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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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REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
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SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2001
SUP 18.4 Friendly Society transfers and amalgamations
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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SUP 13.4 Providing cross border services into another EEA State
As Published: 2001
SUP 13.4 Providing cross border services into another EEA State
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PERG 4.11 Link between activities and the United Kingdom
As Published: 2007
PERG 4.11 Link between activities and the United Kingdom
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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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 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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