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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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PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

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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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SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

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Similar To

DISP 3.1 Purpose, interpretation and application

REC 4.8 The section 298 procedure

COLL 6.9 Independence, names and UCITS business restrictions

COLL 5.2 General investment powers and limits for UCITS schemes

SUP 8.3 Applying for a waiver

FEES App 1.1 Introduction

SUP 5.3 Policy on the use of skilled persons

DEPP 6.2 Deciding whether to take action

PERG 9.1 Application and Purpose

SUP 15.7 Form and method of notification

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

FEES 6.5A The retail pool

GEN 1.3 Emergency

COLL 11.6 Winding up, merger and division of master UCITS

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

PERG 5.11 Other aspects of exclusions

SUP 12.9 Record keeping

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

SUP 3.10 Duties of auditors: notification and report on client assets

SUP 6.2 Introduction