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CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
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REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
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CONC 4.2 Pre-contract disclosure and adequate explanations
As Published: 2014
CONC 4.2 Pre-contract disclosure and adequate explanations
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DTR 6.2 Filing information and use of language
As Published: 2012
DTR 6.2 Filing information and use of language
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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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DTR 1.1 Application and purpose (Disclosure rules)
As Published: 2005
DTR 1.1 Application and purpose (Disclosure rules)
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COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
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SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
As Published: 2004
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
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SYSC 13.3 Other related Handbook sections
As Published: 2007
SYSC 13.3 Other related Handbook sections
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DEPP 6.5A The five steps for penalties imposed on firms
As Published: 2010
DEPP 6.5A The five steps for penalties imposed on firms
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