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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
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SUP 15.10 Reporting suspicious transactions (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions (market abuse)
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MCOB 6.9 Regulated sale and rent back agreements
As Published: 2010
MCOB 6.9 Regulated sale and rent back agreements
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COBS 11.8 Recording telephone conversations and electronic communications
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2012
REC 2A.3 Guidance on RAP recognition requirements
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LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
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PERG 4.10 Exclusions applying to more than one regulated activity
As Published: 2014
PERG 4.10 Exclusions applying to more than one regulated activity
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COLL 7.2 Suspension and restart of dealings
As Published: 2008
COLL 7.2 Suspension and restart of dealings
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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DEPP 6.4 Financial penalty or public censure
As Published: 2010
DEPP 6.4 Financial penalty or public censure
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