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SUP App 3.9 Mapping of MiFID, CRD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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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 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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MCOB 7.6 Mortgages: event-driven information
As Published: 2004
MCOB 7.6 Mortgages: event-driven information
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
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BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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