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LR 13.5 Financial information in Class 1 Circulars
As Published: 2007
LR 13.5 Financial information in Class 1 Circulars
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SYSC 4.4 Apportionment of responsibilities
As Published: 2008
SYSC 4.4 Apportionment of responsibilities
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
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LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
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DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2007
DEPP 6.6 Financial penalties for late and incomplete submission of reports
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