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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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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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PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
As Published: 2004
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
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IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm
As Published: 2010
IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm
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COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
As Published: 2014
IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
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DEPP 1.2 Introduction to statutory notices
As Published: 2011
DEPP 1.2 Introduction to statutory notices
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REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
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