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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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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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LR 10.7 Transactions by specialist companies
As Published: 2005
LR 10.7 Transactions by specialist companies
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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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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
As Published: 2006
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
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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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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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COND 2.3 Threshold condition 3: Close links
As Published: 2004
COND 2.3 Threshold condition 3: Close links
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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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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
As Published: 2006
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
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COND 2.4 Threshold condition 4: Adequate resources
As Published: 2004
COND 2.4 Threshold condition 4: Adequate resources
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