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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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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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FEES 5.8 Joining the Financial Ombudsman Service
As Published: 2009
FEES 5.8 Joining the Financial Ombudsman Service
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PERG 8.11 Types of exemption under the Financial Promotion Order
As Published: 2005
PERG 8.11 Types of exemption under the Financial Promotion Order
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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MAR 8.2 Requirements for benchmark submitters
As Published: 2013
MAR 8.2 Requirements for benchmark submitters
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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MCOB 7.6 Mortgages: event-driven information
As Published: 2004
MCOB 7.6 Mortgages: event-driven information
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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