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SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
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REC 4.2E Information: compliance of UK recognised bodies with EU requirements
As Published: 2007
REC 4.2E Information: compliance of UK recognised bodies with EU requirements
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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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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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MAR 6.4 Systematic internaliser reporting requirement
As Published: 2007
MAR 6.4 Systematic internaliser reporting requirement
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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LR 13.5 Financial information in Class 1 Circulars
As Published: 2007
LR 13.5 Financial information in Class 1 Circulars
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SUP 10A.9 Significant management functions
As Published: 2013
SUP 10A.9 Significant management functions
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