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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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EG 3.7 Investigations to assist overseas authorities (section 169)
As Published: 2016
EG 3.7 Investigations to assist overseas authorities (section 169)
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
As Published: 2015
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
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MAR 8.2 Requirements for benchmark submitters
As Published: 2013
MAR 8.2 Requirements for benchmark submitters
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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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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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