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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
As Published: 2004
REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
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ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
As Published: 2008
ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
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ICOBS 4.4 Commission disclosure for commercial customers
As Published: 2008
ICOBS 4.4 Commission disclosure for commercial customers
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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification
As Published: 2007
BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification
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COBS 10.4 Assessing appropriateness: when it need not be done
As Published: 2007
COBS 10.4 Assessing appropriateness: when it need not be done
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SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
As Published: 2007
BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups
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COBS 13.3 Contents of a key features document
As Published: 2007
COBS 13.3 Contents of a key features document
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DEPP 6.4 Financial penalty or public censure
As Published: 2007
DEPP 6.4 Financial penalty or public censure
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COBS 18.10 UCITS qualifiers and service companies
As Published: 2007
COBS 18.10 UCITS qualifiers and service companies
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