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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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SYSC 5.1 Skills, knowledge and expertise
As Published: 2006
SYSC 5.1 Skills, knowledge and expertise
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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
COLL 5.2 General investment powers and limits for UCITS schemes
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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COLL 11.6 Winding up, merger and division of master UCITS
As Published: 2013
COLL 11.6 Winding up, merger and division of master UCITS
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COLL 6.9 Independence, names and UCITS business restrictions
As Published: 2006
COLL 6.9 Independence, names and UCITS business restrictions
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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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REC 3.26 Proposals to make regulatory provision
As Published: 2007
REC 3.26 Proposals to make regulatory provision
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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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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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CONC 3.7 Financial promotions and communications: credit brokers
As Published: 2014
CONC 3.7 Financial promotions and communications: credit brokers
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MCOB 5.4 Information on regulated mortgage contracts: general
As Published: 2004
MCOB 5.4 Information on regulated mortgage contracts: general
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SUP 10A.13 Application for approval and withdrawing an application for approval
As Published: 2013
SUP 10A.13 Application for approval and withdrawing an application for approval
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MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
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