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SUP 10C.10 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10C.10 Application for approval and withdrawing an application for approval
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CONC 10.3 Calculation of prudential resources
As Published: 2014
CONC 10.3 Calculation of prudential resources
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
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COBS 6.1E Platform services: platform charges and using a platform service for advising
As Published: 2011
COBS 6.1E Platform services: platform charges and using a platform service for advising
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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FEES 10.1 Application, purpose and background
As Published: 2015
FEES 10.1 Application, purpose and background
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