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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2005
CASS 5.8 Safe keeping of client's documents and other assets
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REC 2.2 Method of satisfying the recognition requirements
As Published: 2004
REC 2.2 Method of satisfying the recognition requirements
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PERG 8.12 Exemptions applying to all controlled activities
As Published: 2005
PERG 8.12 Exemptions applying to all controlled activities
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
As Published: 2004
MCOB 1.6 Application to mortgages in relation to the Consumer Credit Act 1974
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2005
PR 1.2 Requirement for a prospectus and exemptions
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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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CASS 6.3 Depositing assets with third parties
As Published: 2007
CASS 6.3 Depositing assets with third parties
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