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PERG 16.5 How AIFMD affects other regulated activities
As Published: 2013
PERG 16.5 How AIFMD affects other regulated activities
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2018
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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EG 4.3 Notification where a particular person is not yet under investigation
As Published: 2016
EG 4.3 Notification where a particular person is not yet under investigation
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IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
As Published: 2016
IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5
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REC 2A.2 Method of satisfying the RAP recognition requirements
As Published: 2013
REC 2A.2 Method of satisfying the RAP recognition requirements
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SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation
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EG 20.2 Information gathering and investigation powers
As Published: 2016
EG 20.2 Information gathering and investigation powers
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EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002
As Published: 2016
EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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PERG 4.9 Agreeing to carry on a regulated activity
As Published: 2005
PERG 4.9 Agreeing to carry on a regulated activity
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REC 6A.1 Exercise of passport rights by EEA market operator
As Published: 2007
REC 6A.1 Exercise of passport rights by EEA market operator
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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EG 19.11 Financial Services (Distance Marketing) Regulations 2004
As Published: 2016
EG 19.11 Financial Services (Distance Marketing) Regulations 2004
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