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SUP 15.11 Notification of COCON breaches and disciplinary action
As Published: 2015
SUP 15.11 Notification of COCON breaches and disciplinary action
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DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
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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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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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COBS 21.2 Rules for firms engaged in linked long-term insurance business
As Published: 2015
COBS 21.2 Rules for firms engaged in linked long-term insurance business
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2014
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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DTR 2.2 Disclosure of inside information
As Published: 2016
DTR 2.2 Disclosure of inside information
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EG 19.23 Electronic Money Regulations 2011
As Published: 2016
EG 19.23 Electronic Money Regulations 2011
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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