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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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PERG 5.5 The regulated activities: dealing in contracts as agent
As Published: 2005
PERG 5.5 The regulated activities: dealing in contracts as agent
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MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
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LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
As Published: 2006
LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
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BIPRU 8.8 Advanced prudential calculation approaches
As Published: 2006
BIPRU 8.8 Advanced prudential calculation approaches
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
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SUP 3.6 Firms' cooperation with their auditors
As Published: 2007
SUP 3.6 Firms' cooperation with their auditors
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REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
As Published: 2004
REC 2.17 Recognition requirements relating to the default rules of UK recognised bodies
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TC App 7.1 Guidelines for qualification gap-fill for retail investment advice
As Published: 2011
TC App 7.1 Guidelines for qualification gap-fill for retail investment advice
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