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MIPRU 3.2 Professional indemnity insurance requirements
As Published: 2006
MIPRU 3.2 Professional indemnity insurance requirements
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BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions
As Published: 2010
BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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COBS 13.6 Preparing product information: changes to adviser and consultancy charges
As Published: 2011
COBS 13.6 Preparing product information: changes to adviser and consultancy charges
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LR 10.7 Transactions by specialist companies
As Published: 2010
LR 10.7 Transactions by specialist companies
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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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SYSC 4.2 Persons who effectively direct the business
As Published: 2008
SYSC 4.2 Persons who effectively direct the business
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
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SUP 5.6 Confidential information and privilege
As Published: 2001
SUP 5.6 Confidential information and privilege
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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