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PERG 8.32 Arranging deals in investments
As Published: 2005
PERG 8.32 Arranging deals in investments
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COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
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PERG 4.7 Entering into a regulated mortgage contract
As Published: 2005
PERG 4.7 Entering into a regulated mortgage contract
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COBS 4.12 Unregulated collective investment schemes
As Published: 2007
COBS 4.12 Unregulated collective investment schemes
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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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RCB 3.2 Annual confirmations of compliance
As Published: 2008
RCB 3.2 Annual confirmations of compliance
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COBS 6.3 Disclosing information about services, fees and commission – packaged products
As Published: 2007
COBS 6.3 Disclosing information about services, fees and commission – packaged products
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COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2007
COBS 4.10 Systems and controls and approving and communicating financial promotions
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REC 2.16A Operation of a multilateral trading facility
As Published: 2007
REC 2.16A Operation of a multilateral trading facility
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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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GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
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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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