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201 - 220 of 525 items.
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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PERG 10.4A The application of EU Directives
As Published: 2006
PERG 10.4A The application of EU Directives
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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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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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COBS 16.1 General client reporting requirement
As Published: 2007
COBS 16.1 General client reporting requirement
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COBS 4.3 Financial promotions to be identifiable as such
As Published: 2009
COBS 4.3 Financial promotions to be identifiable as such
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