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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

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APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

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PERG 8.34 The business test

As Published: 2018

PERG 8.34 The business test

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SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

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PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

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REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

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Similar To

COLL 12.2 UK UCITS management companies

MAR 9.2 Authorisation and verification

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

PERG 15.7 Transitional provisions [deleted]

PERG 7.6 Applications for a certificate

SUP 11.6 Subsequent notification requirements by firms

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

REC 3.8 Financial and other information

PERG 15.2 General

SUP 16.6 Compliance reports

REC 3.3 Waivers

REC 3.14A Operation of a trading venue

COLL 5.3 Derivative exposure

COLL 6.7 Payments

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

APER 4.5 Statement of Principle 5

PERG 8.34 The business test

SYSC 19C.1 General application and purpose

PERG 8.10 Types of financial promotion

REC 4.3 Risk assessments for UK recognised bodies