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COBS 10.1 Application and purpose provisions
As Published: 2007
COBS 10.1 Application and purpose provisions
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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
As Published: 2001
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
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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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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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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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PERG 8.9 Circumstances where the restriction in section 21 does not apply
As Published: 2005
PERG 8.9 Circumstances where the restriction in section 21 does not apply
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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GEN 1.2 Referring to approval by the appropriate regulator
As Published: 2005
GEN 1.2 Referring to approval by the appropriate regulator
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SUP 16.3 General provisions on reporting
As Published: 2001
SUP 16.3 General provisions on reporting
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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CASS 9.5 Reporting to clients on request
As Published: 2014
CASS 9.5 Reporting to clients on request
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