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COBS 4.11 Record keeping: financial promotion
As Published: 2007
COBS 4.11 Record keeping: financial promotion
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SUP 15.8 Notification in respect of particular products and services
As Published: 2001
SUP 15.8 Notification in respect of particular products and services
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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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COBS 9.3 Guidance on assessing suitability
As Published: 2007
COBS 9.3 Guidance on assessing suitability
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DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
As Published: 2005
DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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SUP 13.7 Changes to cross border services
As Published: 2001
SUP 13.7 Changes to cross border services
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COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
As Published: 2007
COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
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SYSC 20.2 Reverse stress testing requirements
As Published: 2010
SYSC 20.2 Reverse stress testing requirements
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
As Published: 2012
BIPRU 12.9 Individual liquidity guidance and regulatory intervention points
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