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SUP 10A.9 Significant management functions
As Published: 2013
SUP 10A.9 Significant management functions
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
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SYSC 19A.1 General application and purpose
As Published: 2010
SYSC 19A.1 General application and purpose
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms
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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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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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