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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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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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DISP 3.5 Resolution of complaints by the Ombudsman
As Published: 2008
DISP 3.5 Resolution of complaints by the Ombudsman
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REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
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DEPP 8.5 Effects of a breach of condition or time limitation
As Published: 2015
DEPP 8.5 Effects of a breach of condition or time limitation
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EG 4.10 The timeframe for responding to information and document requirements
As Published: 2016
EG 4.10 The timeframe for responding to information and document requirements
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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