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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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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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PERG 13.7 The territorial application of MiFID
As Published: 2007
PERG 13.7 The territorial application of MiFID
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CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit
As Published: 2015
CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit
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LR 13.5 Financial information in Class 1 Circulars
As Published: 2007
LR 13.5 Financial information in Class 1 Circulars
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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SYSC 21.1 Risk control: guidance on governance arrangements
As Published: 2010
SYSC 21.1 Risk control: guidance on governance arrangements
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MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements
As Published: 2010
MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements
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PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
As Published: 2014
PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
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COLL 3.2 The instrument constituting the fund
As Published: 2004
COLL 3.2 The instrument constituting the fund
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MCOB 9.7 Disclosure at the start of the contract: lifetime mortgages
As Published: 2006
MCOB 9.7 Disclosure at the start of the contract: lifetime mortgages
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LR 9.2 Requirements with continuing application
As Published: 2006
LR 9.2 Requirements with continuing application
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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