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PERG 13.3 Investment Services and Activities
As Published: 2007
PERG 13.3 Investment Services and Activities
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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 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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RCB 3.2 Annual confirmations of compliance
As Published: 2008
RCB 3.2 Annual confirmations of compliance
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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COLL 4.7 Key investor information and marketing communications
As Published: 2011
COLL 4.7 Key investor information and marketing communications
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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
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COBS 21.3 Rules for firms engaged in linked long-term insurance business
As Published: 2008
COBS 21.3 Rules for firms engaged in linked long-term insurance business
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REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
As Published: 2001
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
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COLL 11.6 Winding up, merger and division of master UCITS
As Published: 2011
COLL 11.6 Winding up, merger and division of master UCITS
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BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
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REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
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COBS 4.12 Unregulated collective investment schemes
As Published: 2007
COBS 4.12 Unregulated collective investment schemes
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COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2007
COBS 4.10 Systems and controls and approving and communicating financial promotions
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