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FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
As Published: 2006
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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PERG 12.2 Establishing, operating or winding up a personal pension scheme
As Published: 2006
PERG 12.2 Establishing, operating or winding up a personal pension scheme
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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
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ICOBS 2.2 Communications to clients and financial promotions
As Published: 2010
ICOBS 2.2 Communications to clients and financial promotions
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COBS 8.1 Client agreements: designated investment business
As Published: 2007
COBS 8.1 Client agreements: designated investment business
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
As Published: 2010
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
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ICOBS 6.4 Pre- and post-contract information: protection policies
As Published: 2008
ICOBS 6.4 Pre- and post-contract information: protection policies
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COND 2.1 Threshold condition 1: Legal status
As Published: 2002
COND 2.1 Threshold condition 1: Legal status
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