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SUP 13A.9 The precautionary measure rule for incoming EEA firms
As Published: 2007
SUP 13A.9 The precautionary measure rule for incoming EEA firms
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BIPRU 1.3 Applications for advanced approaches
As Published: 2006
BIPRU 1.3 Applications for advanced approaches
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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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REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
As Published: 2001
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
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RCB 3.2 Annual confirmations of compliance
As Published: 2008
RCB 3.2 Annual confirmations of compliance
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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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DTR 5.9 Filing of information with competent authority
As Published: 2007
DTR 5.9 Filing of information with competent authority
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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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PR 5.5 Persons responsible for a prospectus
As Published: 2005
PR 5.5 Persons responsible for a prospectus
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