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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 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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SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
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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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REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
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REC 5.1 Introduction and legal background
As Published: 2001
REC 5.1 Introduction and legal background
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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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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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