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COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
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REC 5.1 Introduction and legal background
As Published: 2011
REC 5.1 Introduction and legal background
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration
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SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
As Published: 2004
SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative
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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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DTR 6.1 Information requirements for issuers of shares and debt securities
As Published: 2006
DTR 6.1 Information requirements for issuers of shares and debt securities
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
As Published: 2011
PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
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