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SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
As Published: 2015
SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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COLL 11.6 Winding up, merger and division of master UCITS
As Published: 2013
COLL 11.6 Winding up, merger and division of master UCITS
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PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
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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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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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DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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REC 2.17 Recognition requirements relating to the default rules of UK RIEs
As Published: 2004
REC 2.17 Recognition requirements relating to the default rules of UK RIEs
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BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
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REC 2.10 Financial crime and market abuse
As Published: 2004
REC 2.10 Financial crime and market abuse
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SUP 13.3 Establishing a branch in another EEA State
As Published: 2001
SUP 13.3 Establishing a branch in another EEA State
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