Search Result
DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?
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CONC 7.5 Pursuing and recovering repayments
As Published: 2014
CONC 7.5 Pursuing and recovering repayments
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SUP 10A.5 Significant-influence functions
As Published: 2015
SUP 10A.5 Significant-influence functions
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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SUP 10C.7 Other overall responsibility function (SMF18)
As Published: 2015
SUP 10C.7 Other overall responsibility function (SMF18)
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FEES 6.4A Management expenses in respect of relevant schemes
As Published: 2010
FEES 6.4A Management expenses in respect of relevant schemes
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LR 15.3 Listing applications and procedures
As Published: 2010
LR 15.3 Listing applications and procedures
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FEES 2.2 Late Payments and Recovery of Unpaid Fees
As Published: 2006
FEES 2.2 Late Payments and Recovery of Unpaid Fees
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COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
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