461 - 480 of 820 items.
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Illustration of the online reporting requirements, referred to in DISP 1.10.2AR (Complaints by Retail Investment Advisers)
Chapter: 1 Annex 1C
Effective Date: 7th March 2016
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Form I - Application for the Variation of a Conditional Approval for the performance of a Senior Management Function
Chapter: SUP 10C Annex 4 D
Effective Date: 7th March 2016
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Large non-directive insurers: Scope of Responsibilities
Chapter: 10A Annex 4D
Effective Date: 7th March 2016
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Form D Notification: Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
Chapter: 10A Annex 7
Effective Date: 7th March 2016
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Form C Notice of ceasing to perform controlled functions (including senior management functions)
Chapter: 10A Annex 6
Effective Date: 7th March 2016
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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: 7th March 2016
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Form D: Notification of changes in personal information or application details (March 2016)
Chapter: SUP 10A Annex 7
Effective Date: 7th March 2016
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Short Form A – Small non-directive insurers only
Chapter: 10A Annex 4
Effective Date: 7th March 2016
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Senior Management Regime: Statement of Responsibilities at grandfathering (Third Country Relevant Authorised Persons only)
Chapter: SUP TP6 11.1
Effective Date: 7th March 2016
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Form C - Notice of ceasing to perform controlled functions (including senior management functions)
Chapter: SUP 10A Annex 6 R
Effective Date: 7th March 2016
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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: 7th March 2016
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Short Form A – Large non-directive insurers only
Chapter: 10A Annex 4D
Effective Date: 7th March 2016
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Form E Internal transfer of an approved person (small non-directive insurers only)
Chapter: 10A Annex 4
Effective Date: 7th March 2016