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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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DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
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SUP 15.10 Reporting suspicious transactions or orders (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions or orders (market abuse)
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SUP 13A.4 EEA firms establishing a branch in the United Kingdom
As Published: 2007
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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SYSC 22.8 Additional rules and guidance for all firms
As Published: 2016
SYSC 22.8 Additional rules and guidance for all firms
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BIPRU 12.5 Individual Liquidity Adequacy Standards
As Published: 2009
BIPRU 12.5 Individual Liquidity Adequacy Standards
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COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
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COCON 4.2 Specific guidance on senior manager conduct rules
As Published: 2015
COCON 4.2 Specific guidance on senior manager conduct rules
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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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