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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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DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
As Published: 2010
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
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SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
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MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers in arrears: policy and procedures
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MAR 5.7 Pre-trade transparency requirements for shares
As Published: 2007
MAR 5.7 Pre-trade transparency requirements for shares
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PERG 4.15 Mortgage activities carried on by 'packagers'
As Published: 2005
PERG 4.15 Mortgage activities carried on by 'packagers'
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BIPRU 7.11 Credit derivatives in the trading book
As Published: 2007
BIPRU 7.11 Credit derivatives in the trading book
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ICOBS 2.2 Communications to clients and financial promotions
As Published: 2010
ICOBS 2.2 Communications to clients and financial promotions
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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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GENPRU 2.1 Calculation of capital resources requirements
As Published: 2006
GENPRU 2.1 Calculation of capital resources requirements
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