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PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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SUP 13A.6 Which rules will an incoming EEA firm be subject to?
As Published: 2007
SUP 13A.6 Which rules will an incoming EEA firm be subject to?
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PERG 2.11 Persons who are exempt for credit-related regulated activities
As Published: 2007
PERG 2.11 Persons who are exempt for credit-related regulated activities
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COBS 10.4 Assessing appropriateness: when it need not be done
As Published: 2007
COBS 10.4 Assessing appropriateness: when it need not be done
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DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
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FEES 10.1 Application, purpose and background
As Published: 2015
FEES 10.1 Application, purpose and background
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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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COBS 3.7 Providing clients with a higher level of protection
As Published: 2007
COBS 3.7 Providing clients with a higher level of protection
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COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
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COBS 20.4 Communications with with-profits policyholders
As Published: 2007
COBS 20.4 Communications with with-profits policyholders
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