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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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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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CASS 1.5 Application: electronic media and E-Commerce
As Published: 2007
CASS 1.5 Application: electronic media and E-Commerce
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SUP 15A.1 Application and notifications under EMIR
As Published: 2013
SUP 15A.1 Application and notifications under EMIR
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COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
As Published: 2011
COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
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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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COBS 11.5 Record keeping: client orders and transactions
As Published: 2007
COBS 11.5 Record keeping: client orders and transactions
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