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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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REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2009
PERG 9.6 The investment condition (section 236(3) of the Act): general
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SUP 4.5 Provisions applicable to all actuaries
As Published: 2004
SUP 4.5 Provisions applicable to all actuaries
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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DTR 2.2 Disclosure of inside information
As Published: 2005
DTR 2.2 Disclosure of inside information
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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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EG 6.2 Publicity during, or upon the conclusion of regulatory action
As Published: 2015
EG 6.2 Publicity during, or upon the conclusion of regulatory action
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
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EG 19.14 Money Laundering Regulations 2007
As Published: 2016
EG 19.14 Money Laundering Regulations 2007
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CASS 7.19 Clearing member client money sub-pools
As Published: 2014
CASS 7.19 Clearing member client money sub-pools
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MCOB 4.4A Initial disclosure requirements
As Published: 2012
MCOB 4.4A Initial disclosure requirements
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BIPRU 2.2 Internal capital adequacy standards
As Published: 2006
BIPRU 2.2 Internal capital adequacy standards
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