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COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
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MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
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REC 2.5 Systems and controls and conflicts
As Published: 2004
REC 2.5 Systems and controls and conflicts
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COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
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SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
As Published: 2002
SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
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CASS 1.2 General application: who? what?
As Published: 2003
CASS 1.2 General application: who? what?
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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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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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LR 15.6 Notifications and periodic financial information
As Published: 2007
LR 15.6 Notifications and periodic financial information
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