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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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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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GEN 6.1 Insurance against financial penalties
As Published: 2003
GEN 6.1 Insurance against financial penalties
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PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
As Published: 2006
PERG 8.25 Advice must relate to an investment which is a security or contractually based investment
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PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
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DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2007
DEPP 6.5 Determining the appropriate level of financial penalty
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COBS 2.2 Information disclosure before providing services
As Published: 2008
COBS 2.2 Information disclosure before providing services
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PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2005
PERG 5.8 The regulated activities: advising on contracts of insurance
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PERG 4.17 Interaction with the Consumer Credit Act
As Published: 2005
PERG 4.17 Interaction with the Consumer Credit Act
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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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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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