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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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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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PERG 8.21 Company statements, announcements and briefings
As Published: 2005
PERG 8.21 Company statements, announcements and briefings
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COBS 3.7 Providing clients with a higher level of protection
As Published: 2007
COBS 3.7 Providing clients with a higher level of protection
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
As Published: 2011
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
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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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BIPRU 1.2 Definition of the trading book
As Published: 2010
BIPRU 1.2 Definition of the trading book
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
As Published: 2006
COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
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SUP 21.1 Form of waiver for energy market participants
As Published: 2003
SUP 21.1 Form of waiver for energy market participants
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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MCOB 9.8 Disclosure after sale: lifetime mortgages
As Published: 2004
MCOB 9.8 Disclosure after sale: lifetime mortgages
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REC 2.13 Promotion and maintenance of standards
As Published: 2004
REC 2.13 Promotion and maintenance of standards
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