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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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COBS 9.3 Guidance on assessing suitability
As Published: 2013
COBS 9.3 Guidance on assessing suitability
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PERG 2.4 Link between activities and the United Kingdom
As Published: 2007
PERG 2.4 Link between activities and the United Kingdom
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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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COBS 4.5 Communicating with retail clients
As Published: 2008
COBS 4.5 Communicating with retail clients
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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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