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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2007
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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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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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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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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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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