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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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SUP 3.10 Duties of auditors: notification and report on client assets
As Published: 2004
SUP 3.10 Duties of auditors: notification and report on client assets
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
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EG 19.15 The conduct of investigations under the Money Laundering Regulations
As Published: 2016
EG 19.15 The conduct of investigations under the Money Laundering Regulations
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
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SUP 10C.16 References and accurate information
As Published: 2016
SUP 10C.16 References and accurate information
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PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
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PERG 4.10A Activities within scope of the Mortgage Credit Directive
As Published: 2015
PERG 4.10A Activities within scope of the Mortgage Credit Directive
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SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
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