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Regulation 72 Review of conditions for initial authorisation |
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Regulation 73 General obligation in respect of on-going supervision |
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Regulation 74 Conflicts of Interest |
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Regulation 75 Conflicts of interest continued |
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Regulation 76 Conduct of business obligations when providing investment services to clients |
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Regulation 77 Provision of certain types of information by investment firms to clients |
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Regulation 78 Certain conduct not regarded as in client's best interest |
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Regulation 79 Bank may impose additional requirements in exceptional cases |
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Regulation 80 Information for clients and potential clients |
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Regulation 81 Information for retail clients, professional clients and eligible counterparties |
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Regulation 82 Providing certain general information for clients |
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Regulation 83 Portfolio management |
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Regulation 84 Information about nature and risks of financial instruments |
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Regulation 85 Information about financial instrument subject to public offering |
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Regulation 86 Information about financial instrument subject to public offering |
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Regulation 87 Information about financial instrument with guarantee by third party |
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Regulation 88 Information about financial instrument belonging to retail clients |
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Regulation 89 Accounts subject to another jurisdiction |
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Regulation 90 Accounts subject to investment firm security interest |
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Regulation 91 When investment firm enters into certain security financing transactions |
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Regulation 92 Information on costs and charges |
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Regulation 93 Collective investment undertakings |
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Regulation 94 Assessment of suitability and appropriateness |
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Regulation 95 Non-complex instruments |
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Regulation 96 Reporting to clients |
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Regulation 97 Best execution |
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Regulation 98 Investment firm to act in clients' best interests |
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Regulation 99 Conduct of business obligations in more limited circumstances |
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Regulation 100 Duty of investment firm to record rights and obligations |
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Regulation 101 Duty of investment firm to report to clients about transactions, services and costs |
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Regulation 102 Regulations 76 to 101 inapplicable to specific financial products otherwise regulated |
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Regulation 103 Provision of services though the medium of another firm |
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Regulation 104 Critical and important operational functions |
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Regulation 105 Investment firm's responsibilities respecting outsourcing to service provider |
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Regulation 106 Obligation to execute orders on terms most favourable to the client |
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Regulation 107 Client order handling by investment firms |
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Regulation 108 Client order handling rules |
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Regulation 109 Obligations of investment firms when appointing tied agents |
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Regulation 110 Public registry of tied agents to be maintained by Bank |
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Regulation 111 Transactions executed with eligible counterparties |
