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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
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MAR 8.3 Requirements for benchmark administrators
As Published: 2013
MAR 8.3 Requirements for benchmark administrators
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CASS 10.3 Existing records forming part of the CASS resolution pack
As Published: 2012
CASS 10.3 Existing records forming part of the CASS resolution pack
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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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CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
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SUP 15.9 Notifications by members of financial conglomerates
As Published: 2004
SUP 15.9 Notifications by members of financial conglomerates
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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
As Published: 2005
PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance
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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 9.1 Application and purpose provisions
As Published: 2007
COBS 9.1 Application and purpose provisions
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TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
As Published: 2007
TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3
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SUP 13A.8 Sources of further information
As Published: 2006
SUP 13A.8 Sources of further information
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