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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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DISP 1.5 Complaints resolved by close of the next business day
As Published: 2002
DISP 1.5 Complaints resolved by close of the next business day
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LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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COBS 7.2 Information to be provided by the insurance intermediary
As Published: 2007
COBS 7.2 Information to be provided by the insurance intermediary
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MCOB 2.7 Application to electronic media and distance communications
As Published: 2004
MCOB 2.7 Application to electronic media and distance communications
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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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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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CONC 2.9 Prohibition of unsolicited credit tokens
As Published: 2014
CONC 2.9 Prohibition of unsolicited credit tokens
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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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SUP 13.4 Providing cross border services into another EEA State
As Published: 2001
SUP 13.4 Providing cross border services into another EEA State
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DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
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