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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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DTR 6.4 Choice of Home State and notifications by third country issuers
As Published: 2007
DTR 6.4 Choice of Home State and notifications by third country issuers
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COBS 10.5 Assessing appropriateness: guidance
As Published: 2007
COBS 10.5 Assessing appropriateness: guidance
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
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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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FEES App 1 Annex 2 Further information on fees
As Published: 2012
FEES App 1 Annex 2 Further information on fees
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COBS 18.8 OPS firms - non scope business
As Published: 2007
COBS 18.8 OPS firms - non scope business
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SUP 3.7 Notification of matters raised by auditor
As Published: 2004
SUP 3.7 Notification of matters raised by auditor
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