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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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LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
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MIPRU 4.4 Calculation of capital resources
As Published: 2006
MIPRU 4.4 Calculation of capital resources
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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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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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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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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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SYSC 1.4 Application of SYSC 11 to SYSC 21
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 21
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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