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CASS 5.2 Holding money as agent of insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of insurance undertaking
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LR 10.7 Transactions by specialist companies
As Published: 2005
LR 10.7 Transactions by specialist companies
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2001
REC 3.15 Suspension of services and inability to operate facilities
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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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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
As Published: 2005
LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
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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 8.29 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 13.4 Providing cross border services into another EEA State
As Published: 2001
SUP 13.4 Providing cross border services into another EEA State
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FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
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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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PERG 8.31 Exclusions for advising on investments
As Published: 2005
PERG 8.31 Exclusions for advising on investments
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