Search Result
CASS 11.3 Responsibility for CASS operational oversight
As Published: 2014
CASS 11.3 Responsibility for CASS operational oversight
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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CONC 8.3 Pre contract information and advice requirements
As Published: 2014
CONC 8.3 Pre contract information and advice requirements
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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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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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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MIPRU 4.2 Capital resources requirements
As Published: 2006
MIPRU 4.2 Capital resources requirements
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DTR 1A.3 FCA may require the publication of information
As Published: 2012
DTR 1A.3 FCA may require the publication of information
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