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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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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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MAR 6.4 Systematic internaliser reporting requirement
As Published: 2007
MAR 6.4 Systematic internaliser reporting requirement
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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SUP 13.4 Providing cross border services into another EEA State
As Published: 2001
SUP 13.4 Providing cross border services into another EEA State
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REC 3.25 Significant breaches of rules and disorderly trading conditions
As Published: 2007
REC 3.25 Significant breaches of rules and disorderly trading conditions
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SUP 10A.14 Changes to an FCA-approved person's details
As Published: 2014
SUP 10A.14 Changes to an FCA-approved person's details
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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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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
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DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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