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COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2004
COLL 7.5 Schemes or sub-funds that are not commercially viable
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CASS 1.4 Application: particular activities
As Published: 2004
CASS 1.4 Application: particular activities
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SUP 13.3 Establishing a branch in another EEA State
As Published: 2001
SUP 13.3 Establishing a branch in another EEA State
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2001
MAR 1.6 Market abuse (manipulating transactions)
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REC 2.6 General safeguards for investors
As Published: 2004
REC 2.6 General safeguards for investors
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DISP 2.6 To which activities do the rules apply?
As Published: 2003
DISP 2.6 To which activities do the rules apply?
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SUP 13.4 Providing cross border services into another EEA State
As Published: 2001
SUP 13.4 Providing cross border services into another EEA State
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PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2005
CASS 5.8 Safe keeping of client's documents and other assets
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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