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ICOB 6.3 Notification of cancellation by the retail customer
As Published: 2005
ICOB 6.3 Notification of cancellation by the retail customer
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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SUP 7.2 The FSA's powers to set individual requirements on its own initiative
As Published: 2001
SUP 7.2 The FSA's powers to set individual requirements on its own initiative
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REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2002
COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)
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DISP App 1.5 Determination of complaints
As Published: 2002
DISP App 1.5 Determination of complaints
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2001
REC 3.5 Disciplinary action and events relating to key individuals
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MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
As Published: 2004
MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
As Published: 2001
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
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DISP 1.3 Internal complaint handling procedures: additional requirements
As Published: 2003
DISP 1.3 Internal complaint handling procedures: additional requirements
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