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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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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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SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
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COBS 13.4 Contents of a key features illustration
As Published: 2007
COBS 13.4 Contents of a key features illustration
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SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
As Published: 2001
SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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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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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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MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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