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CASS 7.12 Organisational requirements: client money
As Published: 2015
CASS 7.12 Organisational requirements: client money
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SYSC 18.5 Settlement agreements with workers
As Published: 2015
SYSC 18.5 Settlement agreements with workers
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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
As Published: 2013
REC 4.5 FCA supervision of action by UK RIEs under their default rules
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EG 8.3 Use of the own-initiative powers in urgent cases
As Published: 2016
EG 8.3 Use of the own-initiative powers in urgent cases
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CONC 2.4 Credit references: conduct of business: lenders and owners
As Published: 2014
CONC 2.4 Credit references: conduct of business: lenders and owners
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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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IFPRU 4.4 Internal ratings based approach: overall requirements for estimation
As Published: 2014
IFPRU 4.4 Internal ratings based approach: overall requirements for estimation
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BIPRU 7.7 Position risk requirements for collective investment undertakings
As Published: 2007
BIPRU 7.7 Position risk requirements for collective investment undertakings
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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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PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2013
PERG 5.8 The regulated activities: advising on contracts of insurance
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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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REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
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CONC 4.7 Information to be provided on entering a current account agreement
As Published: 2014
CONC 4.7 Information to be provided on entering a current account agreement
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