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SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
As Published: 2006
SYSC 8.1 General outsourcing requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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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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BIPRU 8.8 Advanced prudential calculation approaches
As Published: 2006
BIPRU 8.8 Advanced prudential calculation approaches
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COB 4.3 Disclosing information about services, fees and commission - packaged products
As Published: 2004
COB 4.3 Disclosing information about services, fees and commission - packaged products
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
As Published: 2004
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2001
REC 4.2 The supervisory relationship with UK recognised bodies
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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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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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