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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 8.1 Client agreements: designated investment business
As Published: 2007
COBS 8.1 Client agreements: designated investment business
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PERG 10.5 Employers and affinity groups (such as trade unions)
As Published: 2006
PERG 10.5 Employers and affinity groups (such as trade unions)
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FEES 4.4 Information on which fees are calculated
As Published: 2007
FEES 4.4 Information on which fees are calculated
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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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COBS 5.1 The distance marketing disclosure rules
As Published: 2007
COBS 5.1 The distance marketing disclosure rules
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
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PERG 9.10 Significance of being an open-ended investment company
As Published: 2005
PERG 9.10 Significance of being an open-ended investment company
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COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
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COBS 9.3 Guidance on assessing suitability
As Published: 2013
COBS 9.3 Guidance on assessing suitability
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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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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 2.9 Regulated activities: exclusions applicable in certain circumstances
As Published: 2005
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
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