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Effective Period

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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

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

COLL 12.2 UK UCITS management companies

As Published: 2011

COLL 12.2 UK UCITS management companies

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

REC 3.11 Insolvency events

As Published: 2013

REC 3.11 Insolvency events

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

IFPRU 8.2 Large Exposures

As Published: 2014

IFPRU 8.2 Large Exposures

LR 5.4A Transfer between listing categories: Equity shares

As Published: 2009

LR 5.4A Transfer between listing categories: Equity shares

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application