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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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PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
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SUP 15.7 Form and method of notification
As Published: 2002
SUP 15.7 Form and method of notification
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MCOB 4.11 Sale and rent back: advising and selling standards
As Published: 2010
MCOB 4.11 Sale and rent back: advising and selling standards
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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PERG 4.5 Arranging regulated mortgage contracts
As Published: 2013
PERG 4.5 Arranging regulated mortgage contracts
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