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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2001
REC 4.3 Risk assessments for UK recognised bodies
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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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RCB 3.2 Annual confirmations of compliance
As Published: 2008
RCB 3.2 Annual confirmations of compliance
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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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DTR 1.3 Information gathering and publication
As Published: 2005
DTR 1.3 Information gathering and publication
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COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
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LR 16.2 Requirements and eligibility for listing
As Published: 2005
LR 16.2 Requirements and eligibility for listing
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