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RCB 4.2 Enforcement powers and penalties
As Published: 2008
RCB 4.2 Enforcement powers and penalties
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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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REC 3.20 Disciplinary action relating to members
As Published: 2001
REC 3.20 Disciplinary action relating to members
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LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
As Published: 2005
LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
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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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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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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 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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