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CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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SUP 16.20 Submission of recovery plans and information for resolution plans
As Published: 2015
SUP 16.20 Submission of recovery plans and information for resolution plans
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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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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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