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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
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PR 3.2 Filing and publication of prospectus
As Published: 2012
PR 3.2 Filing and publication of prospectus
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COBS 10.2 Assessing appropriateness: the obligations
As Published: 2007
COBS 10.2 Assessing appropriateness: the obligations
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SUP 10C.7 Other overall responsibility function (SMF18)
As Published: 2015
SUP 10C.7 Other overall responsibility function (SMF18)
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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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CONC 11.2 Right of withdrawal: P2P agreements
As Published: 2015
CONC 11.2 Right of withdrawal: P2P agreements
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EG 13.8 Power to apply to court for a provisional liquidator
As Published: 2016
EG 13.8 Power to apply to court for a provisional liquidator
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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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