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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
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SUP 11.7 Acquisition or increase of control: assessment process and criteria
As Published: 2004
SUP 11.7 Acquisition or increase of control: assessment process and criteria
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ICOBS 8.4 Employers’ Liability Insurance
As Published: 2011
ICOBS 8.4 Employers’ Liability Insurance
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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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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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PERG 16.4 Acting as a depositary of an AIF
As Published: 2019
PERG 16.4 Acting as a depositary of an AIF
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GEN 1.2 Referring to approval by the FCA
As Published: 2005
GEN 1.2 Referring to approval by the FCA
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BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
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PERG 10.4A The application of requirements which implemented EU directives
As Published: 2006
PERG 10.4A The application of requirements which implemented EU directives
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COCON 4.1 Specific guidance on individual conduct rules
As Published: 2015
COCON 4.1 Specific guidance on individual conduct rules
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EG 19.32 The Payment Accounts Regulations 2015
As Published: 2016
EG 19.32 The Payment Accounts Regulations 2015
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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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COBS 11.5 Record keeping: client orders and transactions [deleted]
As Published: 2017
COBS 11.5 Record keeping: client orders and transactions [deleted]
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