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COBS 4.7 Direct offer financial promotions
As Published: 2007
COBS 4.7 Direct offer financial promotions
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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PERG 4.5 Arranging regulated mortgage contracts
As Published: 2005
PERG 4.5 Arranging regulated mortgage contracts
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LR 1.3 Information gathering and publication
As Published: 2005
LR 1.3 Information gathering and publication
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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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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REC 6.8 Powers of direction and revocation of recognition orders
As Published: 2001
REC 6.8 Powers of direction and revocation of recognition orders
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LR 16.4 Requirements with continuing application
As Published: 2007
LR 16.4 Requirements with continuing application
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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REC 3.14A Operation of a regulated market or MTF
As Published: 2007
REC 3.14A Operation of a regulated market or MTF
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