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PERG 16.4 Acting as a depositary of an AIF
As Published: 2013
PERG 16.4 Acting as a depositary of an AIF
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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COBS 10.1 Application and purpose provisions
As Published: 2007
COBS 10.1 Application and purpose provisions
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IFPRU 6.3 Expectations relating to internal models
As Published: 2014
IFPRU 6.3 Expectations relating to internal models
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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
As Published: 2001
SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background
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CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
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SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
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SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
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IFPRU 11.5 Intra-group financial support
As Published: 2015
IFPRU 11.5 Intra-group financial support
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DTR 8.3 Criteria for approval as a primary information provider
As Published: 2014
DTR 8.3 Criteria for approval as a primary information provider
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COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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