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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

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COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

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FIT 1.3 Assessing fitness and propriety

As Published: 2003

FIT 1.3 Assessing fitness and propriety

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DISP App 1.2 The standard approach to redress

As Published: 2008

DISP App 1.2 The standard approach to redress

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CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

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MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

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LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

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REC 2A.4 Power and procedure for RAP penalties and censures

SUP 5.3 Policy on the use of skilled persons

RCB 3.2 Annual confirmations of compliance and asset pool monitor

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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