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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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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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COBS 13.2 Product information: production standards, form and contents
As Published: 2007
COBS 13.2 Product information: production standards, form and contents
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COBS 13.5 Preparing product information: other projections
As Published: 2007
COBS 13.5 Preparing product information: other projections
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COBS 6.1G Re-registration of title to retail investment products
As Published: 2011
COBS 6.1G Re-registration of title to retail investment products
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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COBS 16.5 Quotations for surrender values
As Published: 2007
COBS 16.5 Quotations for surrender values
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COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
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