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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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ICOBS 6.3 Pre- and post-contract information: pure protection contracts
As Published: 2008
ICOBS 6.3 Pre- and post-contract information: pure protection contracts
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PERG 8.8 Having an effect in the United Kingdom
As Published: 2005
PERG 8.8 Having an effect in the United Kingdom
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DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
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SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
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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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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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COLL 9.4 Facilities in the United Kingdom
As Published: 2004
COLL 9.4 Facilities in the United Kingdom
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LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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