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BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
As Published: 2007
BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies
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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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COBS 2.2 Information disclosure before providing services
As Published: 2008
COBS 2.2 Information disclosure before providing services
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COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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LR 4.3 Approval and publication of listing particulars
As Published: 2005
LR 4.3 Approval and publication of listing particulars
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BIPRU 14.2 Calculation of the capital requirement for CCR
As Published: 2006
BIPRU 14.2 Calculation of the capital requirement for CCR
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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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COBS 6.3 Disclosing information about services, fees and commission
As Published: 2007
COBS 6.3 Disclosing information about services, fees and commission
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COBS 4.12 Unregulated collective investment schemes
As Published: 2007
COBS 4.12 Unregulated collective investment schemes
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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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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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