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DTR 1.5 Fees, market abuse safe harbours and sanctions
As Published: 2005
DTR 1.5 Fees, market abuse safe harbours and sanctions
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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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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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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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PERG 4.7 Entering into a regulated mortgage contract
As Published: 2005
PERG 4.7 Entering into a regulated mortgage contract
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MCOB 6.5 Mortgages: information to be provided in the offer document or separately
As Published: 2006
MCOB 6.5 Mortgages: information to be provided in the offer document or separately
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APER 3.3 Factors relating to Statements of Principle 5 to 7
As Published: 2001
APER 3.3 Factors relating to Statements of Principle 5 to 7
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
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DTR 5.10 Use of electronic means for notifications and filing
As Published: 2007
DTR 5.10 Use of electronic means for notifications and filing
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DTR 5.9 Filing of information with competent authority
As Published: 2007
DTR 5.9 Filing of information with competent authority
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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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