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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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PERG 17.4 Advice must relate to a particular debt and debtor
As Published: 2014
PERG 17.4 Advice must relate to a particular debt and debtor
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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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COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies
As Published: 2007
COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies
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COLL 7.5 Schemes or sub-funds that are not commercially viable
As Published: 2013
COLL 7.5 Schemes or sub-funds that are not commercially viable
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CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit
As Published: 2015
CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit
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PERG 8.30 Medium used to give advice or information
As Published: 2005
PERG 8.30 Medium used to give advice or information
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CONC 5A.4 Cost cap for operating an electronic system in relation to lending
As Published: 2015
CONC 5A.4 Cost cap for operating an electronic system in relation to lending
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CASS 9.4 Information to clients concerning custody assets and client money
As Published: 2014
CASS 9.4 Information to clients concerning custody assets and client money
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SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
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BIPRU 8.6 Consolidated capital resources
As Published: 2006
BIPRU 8.6 Consolidated capital resources
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