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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
As Published: 2007
BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver
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REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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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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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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