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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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REC 4.2A Publication of information by UK RIEs and RAPs
As Published: 2007
REC 4.2A Publication of information by UK RIEs and RAPs
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EG 19.35 Data Reporting Services Regulations 2017
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2017
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CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
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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 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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COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
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DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
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MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
As Published: 2015
MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements
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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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COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
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