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IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
As Published: 2015
IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
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COBS 12.4 Research recommendations: required disclosures
As Published: 2007
COBS 12.4 Research recommendations: required disclosures
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RCB 4.2 Enforcement powers and penalties
As Published: 2010
RCB 4.2 Enforcement powers and penalties
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COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
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LR 5.4A Transfer between listing categories: Equity shares
As Published: 2009
LR 5.4A Transfer between listing categories: Equity shares
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COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
As Published: 2011
COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
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SUP 10C.15 Forms and other documents and how to submit them to the FCA
As Published: 2015
SUP 10C.15 Forms and other documents and how to submit them to the FCA
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CASS 5.8 Safe keeping of client's documents and other assets
As Published: 2010
CASS 5.8 Safe keeping of client's documents and other assets
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order
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