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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

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COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

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BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

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COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

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COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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REC 4.2A Publication of information by UK RIEs

As Published: 2007

REC 4.2A Publication of information by UK RIEs

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Similar To

SYSC 6.1 Compliance

REC 2.9 Transaction recording

DTR 6.1 Information requirements for issuers of shares and debt securities

LR App 1.1 Relevant definitions

REC 4.2B Exercise of passport rights by a UK RIE

PERG 13.3 Investment Services and Activities

REC 2.10 Financial crime and market abuse

DTR 5.4 Aggregation of managed holdings

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

REC 3.6 Constitution and governance

COLL 4.5 Reports and accounts

CASS 6.1 Application

RCB 2.3 Determination of registration

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order