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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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EG 19.20 Payment Services Regulations 2009
As Published: 2016
EG 19.20 Payment Services Regulations 2009
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COBS 19.6 Restriction on charges in qualifying schemes
As Published: 2015
COBS 19.6 Restriction on charges in qualifying schemes
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COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
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EG 18.1 Cancellation on the FCA’s own-initiative
As Published: 2016
EG 18.1 Cancellation on the FCA’s own-initiative
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EG 20.3 Decision making under the CCA Order
As Published: 2016
EG 20.3 Decision making under the CCA Order
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DISP App 3.3 The approach to considering evidence
As Published: 2010
DISP App 3.3 The approach to considering evidence
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EG 3.7 Investigations to assist overseas authorities (section 169)
As Published: 2016
EG 3.7 Investigations to assist overseas authorities (section 169)
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MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
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EG 3.3 Reports by skilled persons (section 166)
As Published: 2016
EG 3.3 Reports by skilled persons (section 166)
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SUP 18.3 Insurance business transfers outside the United Kingdom
As Published: 2015
SUP 18.3 Insurance business transfers outside the United Kingdom
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MAR 8.3 Requirements for benchmark administrators
As Published: 2015
MAR 8.3 Requirements for benchmark administrators
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