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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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COLL 6.10 Senior personnel responsibilities
As Published: 2011
COLL 6.10 Senior personnel responsibilities
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2005
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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CASS 5.2 Holding money as agent of insurance undertaking
As Published: 2004
CASS 5.2 Holding money as agent of insurance undertaking
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SUP 9.2 Making a request for individual guidance
As Published: 2005
SUP 9.2 Making a request for individual guidance
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ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
As Published: 2008
ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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COBS 6.1 Information about the firm and compensation information
As Published: 2007
COBS 6.1 Information about the firm and compensation information
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MCOB 9.8 Disclosure after sale: lifetime mortgages
As Published: 2004
MCOB 9.8 Disclosure after sale: lifetime mortgages
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2011
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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COBS 19.1 Pension transfers and opt-outs
As Published: 2007
COBS 19.1 Pension transfers and opt-outs
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