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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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PERG 2.10 Persons carrying on regulated activities who do not need authorisation
As Published: 2006
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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CONC 8.3 Pre contract information and advice requirements
As Published: 2014
CONC 8.3 Pre contract information and advice requirements
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COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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BIPRU 8.7 Consolidated capital resources requirements
As Published: 2010
BIPRU 8.7 Consolidated capital resources requirements
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BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
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COBS 14.4 Provision of information by an intermediate Unitholder
As Published: 2011
COBS 14.4 Provision of information by an intermediate Unitholder
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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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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