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SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
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LR 8.2 When a sponsor must be appointed or its guidance obtained
As Published: 2007
LR 8.2 When a sponsor must be appointed or its guidance obtained
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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DTR 5.9 Filing of information with competent authority
As Published: 2007
DTR 5.9 Filing of information with competent authority
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EG 19.13 The Consumer Protection Co-operation Regulation26
As Published: 2016
EG 19.13 The Consumer Protection Co-operation Regulation26
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LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
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SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements
As Published: 2014
SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements
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EG 19.27 Alternative Investment Fund Managers Regulations 2013
As Published: 2016
EG 19.27 Alternative Investment Fund Managers Regulations 2013
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MCOB 4.10 Home purchase plans: sales standards
As Published: 2006
MCOB 4.10 Home purchase plans: sales standards
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EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
As Published: 2016
EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013
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EG 4.11 Approach to interviews and interview procedures
As Published: 2016
EG 4.11 Approach to interviews and interview procedures
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