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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC
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FEES 5.8 Joining the Financial Ombudsman Service
As Published: 2006
FEES 5.8 Joining the Financial Ombudsman Service
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SUP 6.3 Applications for variation of permission
As Published: 2001
SUP 6.3 Applications for variation of permission
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DISP 2.6 To which activities do the rules apply?
As Published: 2003
DISP 2.6 To which activities do the rules apply?
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GEN 6.1 Insurance against financial penalties
As Published: 2003
GEN 6.1 Insurance against financial penalties
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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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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COBS 6.3 Disclosing information about services, fees and commission – packaged products
As Published: 2007
COBS 6.3 Disclosing information about services, fees and commission – packaged products
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SYSC 2.1 Apportionment of Responsibilities
As Published: 2002
SYSC 2.1 Apportionment of Responsibilities
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