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SUP 13A.9 The precautionary measure rule for incoming EEA firms
As Published: 2007
SUP 13A.9 The precautionary measure rule for incoming EEA firms
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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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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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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PERG 4.6 Advising on regulated mortgage contracts
As Published: 2006
PERG 4.6 Advising on regulated mortgage contracts
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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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COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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COBS 10.1 Application and purpose provisions
As Published: 2007
COBS 10.1 Application and purpose provisions
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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CASS 5.2 Holding money as agent of insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of insurance undertaking
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