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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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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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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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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2005
CASS 5.8 Safe keeping of client's documents and other assets
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DISP App 1.5 Determination of complaints
As Published: 2002
DISP App 1.5 Determination of complaints
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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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PR 3.2 Filing and publication of prospectus
As Published: 2005
PR 3.2 Filing and publication of prospectus
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