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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification
As Published: 2007
BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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PERG 4.14 Mortgage activities carried on by professional firms
As Published: 2005
PERG 4.14 Mortgage activities carried on by professional firms
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BIPRU 11.4 Technical criteria on disclosure: General criteria
As Published: 2007
BIPRU 11.4 Technical criteria on disclosure: General criteria
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DTR 1.2 Modifying rules and consulting the FCA
As Published: 2012
DTR 1.2 Modifying rules and consulting the FCA
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
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EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act
As Published: 2016
EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act
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PERG 14.4A Activities relating to regulated sale and rent back agreements
As Published: 2010
PERG 14.4A Activities relating to regulated sale and rent back agreements
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PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2011
PERG 9.4 Collective investment scheme (section 235 of the Act)
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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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