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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
As Published: 2004
SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative
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SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
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SUP 10C.7 Other overall responsibility function (SMF18)
As Published: 2015
SUP 10C.7 Other overall responsibility function (SMF18)
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LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
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EG 13.6 Petitioning for compulsory winding up on just and equitable grounds
As Published: 2016
EG 13.6 Petitioning for compulsory winding up on just and equitable grounds
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CONC 8.3 Pre contract information and advice requirements
As Published: 2014
CONC 8.3 Pre contract information and advice requirements
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COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
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SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2001
SUP 18.4 Friendly Society transfers and amalgamations
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