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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2001
REC 3.22 Restriction of, or instruction to close out, open positions
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PERG 4.17 Interaction with the Consumer Credit Act
As Published: 2005
PERG 4.17 Interaction with the Consumer Credit Act
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2005
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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SUP App 2.10 Grant or variation of permission
As Published: 2001
SUP App 2.10 Grant or variation of permission
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REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
As Published: 2004
REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
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CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2005
PERG 8.18 Financial promotions concerning the Lloyd’s market
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PERG 8.19 Additional restriction on the promotion of life policies
As Published: 2005
PERG 8.19 Additional restriction on the promotion of life policies
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GEN 4.4 Business for private customers from non-UK offices
As Published: 2004
GEN 4.4 Business for private customers from non-UK offices
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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2001
MAR 1.6 Market abuse (manipulating transactions)
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COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2003
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
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