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PR 5.5 Persons responsible for a prospectus
As Published: 2005
PR 5.5 Persons responsible for a prospectus
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MAR 1.4 Market abuse (improper disclosure)
As Published: 2001
MAR 1.4 Market abuse (improper disclosure)
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DISP 2.1 Purpose, interpretation and application
As Published: 2003
DISP 2.1 Purpose, interpretation and application
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SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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FEES 2.2 Late Payments and Recovery of Unpaid Fees
As Published: 2006
FEES 2.2 Late Payments and Recovery of Unpaid Fees
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PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
As Published: 2005
PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
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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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MCOB 4.11 Sale and rent back: advising and selling standards
As Published: 2010
MCOB 4.11 Sale and rent back: advising and selling standards
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