1 - 20 of 433 items.
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Form H Notification of Conduct Rules Breaches and Disciplinary Action relating to certification employees and other conduct rules staff
Chapter: 15 Annex 7
Effective Date: 30th September 2016
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Add an appointed representative or tied agent form
Chapter: 12 Annex 3
Effective Date: 23rd September 2016
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Appointed representative or tied agent - change details
Chapter: 12 Annex 4R
Effective Date: 23rd September 2016
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25G
Effective Date: 1st September 2016
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Notes for Completion of the Retail Mediation Activities Return ('RMAR')
Chapter: 16 Annex 18BG
Effective Date: 1st September 2016
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UK UCITS management company of UCITS schemes and EEA UCITS schemes: Derivative Use Report (FSA042: UCITS)
Chapter: 6 Annex 2R
Effective Date: 1st August 2016
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Guidance notes for data items in SUP 16 Annex 24R
Chapter: 16 Annex 25G
Effective Date: 1st August 2016
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Notes for Completion of the Retail Mediation Activities Return ('RMAR')
Chapter: 16 Annex 18bg
Effective Date: 31st July 2016
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Application for approval of certain changes for a UCITS scheme under section 283A of the Financial Services and Markets Act 2000
Chapter: Form 283a
Effective Date: 1st July 2016