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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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COLL 5.8 Investment powers and borrowing limits for feeder UCITS
As Published: 2011
COLL 5.8 Investment powers and borrowing limits for feeder UCITS
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COBS 21.2 Principles for firms engaged in linked long-term insurance business
As Published: 2007
COBS 21.2 Principles for firms engaged in linked long-term insurance business
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LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
As Published: 2006
LR 9.7A Preliminary statement of annual results, statement of dividends and half-yearly reports
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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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COBS 14.3 Information about designated investments
As Published: 2007
COBS 14.3 Information about designated investments
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SUP 16.20 Submission of recovery plans and information for resolution plans
As Published: 2015
SUP 16.20 Submission of recovery plans and information for resolution plans
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MAR 1.6 Market abuse (manipulating transactions)
As Published: 2005
MAR 1.6 Market abuse (manipulating transactions)
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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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COBS 16.4 Statements of client designated investments or client money
As Published: 2007
COBS 16.4 Statements of client designated investments or client money
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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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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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