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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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REC 2.10 Financial crime and market abuse
As Published: 2004
REC 2.10 Financial crime and market abuse
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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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SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
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SYSC 1.4 Application of SYSC 11 to SYSC 21
As Published: 2006
SYSC 1.4 Application of SYSC 11 to SYSC 21
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
As Published: 2011
RCB 3.2 Annual confirmations of compliance and asset pool monitor
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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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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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