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DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2007
DEPP 6.6 Financial penalties for late and incomplete submission of reports
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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
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PERG 4.3 Regulated activities related to mortgages
As Published: 2005
PERG 4.3 Regulated activities related to mortgages
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SUP 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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BIPRU 3.2 The central principles of the standardised approach to credit risk
As Published: 2006
BIPRU 3.2 The central principles of the standardised approach to credit risk
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
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