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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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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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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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LR 17.5 Requirements for states, regional and local authorities and public international bodies
As Published: 2006
LR 17.5 Requirements for states, regional and local authorities and public international bodies
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PERG 4.8 Administering a regulated mortgage contract
As Published: 2005
PERG 4.8 Administering a regulated mortgage contract
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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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COBS 9.3 Guidance on assessing suitability
As Published: 2007
COBS 9.3 Guidance on assessing suitability
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COBS 20.3 Principles and Practices of Financial Management
As Published: 2007
COBS 20.3 Principles and Practices of Financial Management
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LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
As Published: 2005
LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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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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