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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2006
SUP 13A.3 Qualifications for authorisation under the Act
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2005
PERG 9.4 Collective investment scheme (section 235 of the Act)
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PERG 4.5 Arranging regulated mortgage contracts
As Published: 2005
PERG 4.5 Arranging regulated mortgage contracts
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FEES 6.3 The FSCS's power to impose levies
As Published: 2006
FEES 6.3 The FSCS's power to impose levies
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COB 6.3 Post-sale confirmation: life policies
As Published: 2001
COB 6.3 Post-sale confirmation: life policies
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PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2005
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
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COND 2.4 Threshold condition 4: Adequate resources
As Published: 2004
COND 2.4 Threshold condition 4: Adequate resources
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PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
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MCOB 9.5 Disclosure at the offer stage for lifetime mortgages
As Published: 2004
MCOB 9.5 Disclosure at the offer stage for lifetime mortgages
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COB 6.4 Product disclosure: special situations
As Published: 2004
COB 6.4 Product disclosure: special situations
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2001
SUP 3.6 Firms' cooperation with their auditors
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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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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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PR 3.2 Filing and publication of prospectus
As Published: 2005
PR 3.2 Filing and publication of prospectus
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
As Published: 2001
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
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LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
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PERG 7.4 Does the article 54 exclusion apply?
As Published: 2005
PERG 7.4 Does the article 54 exclusion apply?
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COB 11.6 Delegation to a permitted third party.
As Published: 2001
COB 11.6 Delegation to a permitted third party.
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PERG 2.5 Investments and activities: general
As Published: 2005
PERG 2.5 Investments and activities: general
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