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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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GEN 4.4 Business for retail clients from non-UK offices
As Published: 2004
GEN 4.4 Business for retail clients from non-UK offices
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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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DTR 1A.3 FSA may require the publication of information
As Published: 2007
DTR 1A.3 FSA may require the publication of information
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COBS 4.8 Cold calls and other promotions that are not in writing
As Published: 2007
COBS 4.8 Cold calls and other promotions that are not in writing
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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DTR 1A.2 Modifying rules and consulting the FSA
As Published: 2005
DTR 1A.2 Modifying rules and consulting the FSA
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SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative
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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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