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PR 3.2 Filing and publication of prospectus
As Published: 2012
PR 3.2 Filing and publication of 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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SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
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DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
As Published: 2013
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
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MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
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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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CASS 11.11 Records, accounts and reconciliations
As Published: 2014
CASS 11.11 Records, accounts and reconciliations
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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