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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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CASS 9.5 Reporting to clients on request
As Published: 2014
CASS 9.5 Reporting to clients on request
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SUP 13A.5 EEA firms providing cross border services into the United Kingdom
As Published: 2009
SUP 13A.5 EEA firms providing cross border services into the United Kingdom
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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BIPRU 8.6 Consolidated capital resources
As Published: 2006
BIPRU 8.6 Consolidated capital resources
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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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BIPRU 2.2 Internal capital adequacy standards
As Published: 2006
BIPRU 2.2 Internal capital adequacy standards
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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SYSC 22.5 Giving references: additional rules and guidance for all firms
As Published: 2016
SYSC 22.5 Giving references: additional rules and guidance for all firms
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SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
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CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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