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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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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
As Published: 2001
SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator
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PERG 8.9 Circumstances where the restriction in section 21 does not apply
As Published: 2005
PERG 8.9 Circumstances where the restriction in section 21 does not apply
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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COLL 9.1 Application and general information
As Published: 2004
COLL 9.1 Application and general information
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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LR 8.5 Responsibilities of listed companies
As Published: 2007
LR 8.5 Responsibilities of listed companies
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MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
As Published: 2004
MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
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DISP 3.5 Resolution of complaints by the Ombudsman
As Published: 2008
DISP 3.5 Resolution of complaints by the Ombudsman
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