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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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COND 2.3 Threshold condition 3: Close links
As Published: 2004
COND 2.3 Threshold condition 3: Close links
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
As Published: 2005
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
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COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
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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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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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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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