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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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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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PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
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RCB 6.2 Policy on decision and warning notices
As Published: 2008
RCB 6.2 Policy on decision and warning notices
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DTR 1A.2 Modifying rules and consulting the FSA
As Published: 2005
DTR 1A.2 Modifying rules and consulting the FSA
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REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
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RCB 4.2 Enforcement powers and penalties
As Published: 2008
RCB 4.2 Enforcement powers and penalties
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COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC
As Published: 2004
COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC
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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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