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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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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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COB 2.1 Clear, fair and not misleading communication
As Published: 2001
COB 2.1 Clear, fair and not misleading communication
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LR 8.2 When a sponsor must be appointed or its assistance obtained
As Published: 2005
LR 8.2 When a sponsor must be appointed or its assistance obtained
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PERG 4.9 Agreeing to carry on a regulated activity
As Published: 2005
PERG 4.9 Agreeing to carry on a regulated activity
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SYSC 4.3 Responsibility of senior personnel
As Published: 2007
SYSC 4.3 Responsibility of senior personnel
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DISP 3.7 Delegation of the Ombudsman's powers
As Published: 2002
DISP 3.7 Delegation of the Ombudsman's powers
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SUP 15.10 Reporting suspicious transactions (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions (market abuse)
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SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
As Published: 2001
SUP 14.7 Cancellation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives
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