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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 4.6 The section 296 power to give directions
As Published: 2001
REC 4.6 The section 296 power to give directions
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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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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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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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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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REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
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MAR 4.3 Further Support of the Takeover Panel's Functions
As Published: 2001
MAR 4.3 Further Support of the Takeover Panel's Functions
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COB 9.3 These provisions have been moved to the Client Assets sourcebook (CASS)
As Published: 2001
COB 9.3 These provisions have been moved to the Client Assets sourcebook (CASS)
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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