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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
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COBS 6.1A Adviser charging and remuneration
As Published: 2010
COBS 6.1A Adviser charging and remuneration
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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LR 4.3 Approval and publication of listing particulars
As Published: 2016
LR 4.3 Approval and publication of listing particulars
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DTR 1C.1 Application and purpose (Primary information providers)
As Published: 2014
DTR 1C.1 Application and purpose (Primary information providers)
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
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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 10A.15 References and accurate information
As Published: 2013
SUP 10A.15 References and accurate information
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