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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
As Published: 2004
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
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COBS 17.1 Providing information to claimants and dealing with claims
As Published: 2007
COBS 17.1 Providing information to claimants and dealing with claims
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ICOB 6.3 Notification of cancellation by the retail customer
As Published: 2005
ICOB 6.3 Notification of cancellation by the retail customer
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COBS 21.2 Principles for firms engaged in linked long-term insurance business
As Published: 2007
COBS 21.2 Principles for firms engaged in linked long-term insurance business
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DTR 2.2 Disclosure of inside information
As Published: 2005
DTR 2.2 Disclosure of inside information
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ICOB 7.2 Group policies and third party claimants
As Published: 2005
ICOB 7.2 Group policies and third party claimants
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COBS 18.8 OPS firms - non scope business
As Published: 2007
COBS 18.8 OPS firms - non scope business
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PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
As Published: 2005
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
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COBS 16.6 Life insurance contracts – communications to clients
As Published: 2007
COBS 16.6 Life insurance contracts – communications to clients
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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COBS 9.3 Guidance on assessing suitability
As Published: 2007
COBS 9.3 Guidance on assessing suitability
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COBS 16.4 Statements of client designated investments or client money
As Published: 2007
COBS 16.4 Statements of client designated investments or client money
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