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COLL 12.3 EEA UCITS management companies
As Published: 2011
COLL 12.3 EEA UCITS management companies
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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2009
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
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REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
As Published: 2004
REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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DTR 6.2 Filing information and use of language
As Published: 2007
DTR 6.2 Filing information and use of language
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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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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SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
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PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
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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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