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CONC 10.2 Prudential resources requirements
As Published: 2014
CONC 10.2 Prudential resources requirements
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MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
As Published: 2009
MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2014
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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DTR 5.10 Use of electronic means for notifications and filing
As Published: 2007
DTR 5.10 Use of electronic means for notifications and filing
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PERG 2.6 Specified investments: a broad outline
As Published: 2005
PERG 2.6 Specified investments: a broad outline
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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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COBS 6.1F Using a platform service for arranging and advising
As Published: 2011
COBS 6.1F Using a platform service for arranging and advising
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LR 12.5 Purchase of own securities other than equity shares
As Published: 2007
LR 12.5 Purchase of own securities other than equity shares
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PERG 16.4 Acting as a depositary of an AIF
As Published: 2013
PERG 16.4 Acting as a depositary of an AIF
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