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COBS 3.7 Providing clients with a higher level of protection
As Published: 2007
COBS 3.7 Providing clients with a higher level of protection
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REC 3.21 Criminal offences and civil prohibitions
As Published: 2013
REC 3.21 Criminal offences and civil prohibitions
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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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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
As Published: 2007
SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?
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COBS 5.1 The distance marketing disclosure rules
As Published: 2007
COBS 5.1 The distance marketing disclosure rules
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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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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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EG 4.2 Notifying the person under investigation where notice is not required under the Act
As Published: 2016
EG 4.2 Notifying the person under investigation where notice is not required under the Act
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SYSC 19C.1 General application and purpose
As Published: 2014
SYSC 19C.1 General application and purpose
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REC 6A.2 Removal of passport rights from EEA market operator
As Published: 2007
REC 6A.2 Removal of passport rights from EEA market operator
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