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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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SUP 16.13 Reporting under the Payment Services Regulations
As Published: 2010
SUP 16.13 Reporting under the Payment Services Regulations
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DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
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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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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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COBS 20.2 Treating with-profits policyholders fairly
As Published: 2009
COBS 20.2 Treating with-profits policyholders fairly
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REC 3.13 Delegation of relevant functions
As Published: 2001
REC 3.13 Delegation of relevant functions
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PERG 8.20 Additional restriction on the promotion of collective investment schemes
As Published: 2005
PERG 8.20 Additional restriction on the promotion of collective investment schemes
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COLL 4.4 Meetings of Unitholders and service of notices
As Published: 2006
COLL 4.4 Meetings of Unitholders and service of notices
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DISP 3.5 Resolution of complaints by the Ombudsman
As Published: 2008
DISP 3.5 Resolution of complaints by the Ombudsman
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