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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
As Published: 2005
PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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SUP 11.6 Subsequent notification requirements by firms
As Published: 2004
SUP 11.6 Subsequent notification requirements by firms
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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ICOB 5.2 Information - responsibilities of insurers and intermediaries
As Published: 2004
ICOB 5.2 Information - responsibilities of insurers and intermediaries
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DISP 1.4 Time limits for dealing with a complaint
As Published: 2003
DISP 1.4 Time limits for dealing with a complaint
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MCOB 7.4 Disclosure at the start of the contract
As Published: 2004
MCOB 7.4 Disclosure at the start of the contract
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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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COB 7.1 Conflict of interest and material interest
As Published: 2001
COB 7.1 Conflict of interest and material interest
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SUP 12.8 Termination of a relationship with an appointed representative
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative
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