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REC 3.21 Criminal offences and civil prohibitions
As Published: 2001
REC 3.21 Criminal offences and civil prohibitions
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REC 2.8 Settlement and clearing services
As Published: 2004
REC 2.8 Settlement and clearing services
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REC 2.10 Financial crime and market abuse
As Published: 2004
REC 2.10 Financial crime and market abuse
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SUP 15.6 Inaccurate, false or misleading information
As Published: 2005
SUP 15.6 Inaccurate, false or misleading information
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PR 2.3 Minimum information to be included in a prospectus
As Published: 2007
PR 2.3 Minimum information to be included in a prospectus
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COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
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COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
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PERG 8.19 Additional restriction on the promotion of life policies
As Published: 2005
PERG 8.19 Additional restriction on the promotion of life policies
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DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
As Published: 2005
DISP 2.5 Which firms are subject to the jurisdiction of the Financial Ombudsman Service?
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