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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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LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

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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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GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

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SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

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SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

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MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

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CONC 6.7 Post contract: business practices

As Published: 2014

CONC 6.7 Post contract: business practices

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SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

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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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Similar To

PERG 2.2 Introduction

COLL 6.2 Dealing

MCOB 2.8 Record keeping

FEES 5.9 [deleted]

LR 17.3 Requirements with continuing application

SUP 16.3 General provisions on reporting

COLL 4.5 Reports and accounts

REC 2.4A Management body

MCOB 4.11 Sale and rent back: advising and selling standards

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

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