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COBS 10.5 Assessing appropriateness: guidance
As Published: 2007
COBS 10.5 Assessing appropriateness: guidance
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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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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COBS 8.1 Client agreements: designated investment business
As Published: 2007
COBS 8.1 Client agreements: designated investment business
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REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
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COBS 10.4 Assessing appropriateness: when it need not be done
As Published: 2007
COBS 10.4 Assessing appropriateness: when it need not be done
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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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DISP App 1.2 The standard approach to redress
As Published: 2008
DISP App 1.2 The standard approach to redress
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MCOB 6.9 Regulated sale and rent back agreements
As Published: 2010
MCOB 6.9 Regulated sale and rent back agreements
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BIPRU 7.1 Application, purpose, general provisions and non-standard transactions
As Published: 2006
BIPRU 7.1 Application, purpose, general provisions and non-standard transactions
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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