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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
As Published: 2005
PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)
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GEN 1.2 Referring to approval by the FSA
As Published: 2005
GEN 1.2 Referring to approval by the FSA
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REC 5.1 Introduction and legal background
As Published: 2001
REC 5.1 Introduction and legal background
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DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2007
DEPP 6.5 Determining the appropriate level of financial penalty
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2007
COBS 10.7 Record keeping and retention periods for appropriateness records
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COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
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PERG 8.30 Medium used to give advice or information
As Published: 2005
PERG 8.30 Medium used to give advice or information
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
As Published: 2005
PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
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