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IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

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COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

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COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

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COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

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COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

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IPRU-INV 5.8 Calculation of own funds and liquid capital

FIT 2.2 Competence and capability

INSPRU 7.1 Application

CASS 6.6 Records, accounts and reconciliations

EG 6.8 The Financial Services register: publication of prohibitions of individuals (see chapter 9)

EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)

COBS 4.9 Financial promotions with an overseas element

BIPRU 14.2 Calculation of the capital requirement for CCR

CASS 1.4 Application: particular activities

COBS 9.4 Suitability reports

COLL 6.7 Payments

DTR 8.5 Supervision of primary information providers

CASS 9.4 Information to clients concerning custody assets and client money

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme