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COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
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EG 3.7 Investigations to assist overseas authorities (section 169)
As Published: 2016
EG 3.7 Investigations to assist overseas authorities (section 169)
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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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EG 3.9 Power to require information relating to potentially unfair etc terms and notices
As Published: 2016
EG 3.9 Power to require information relating to potentially unfair etc terms and notices
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CASS 11.7 Selecting an approved bank at which to hold client money
As Published: 2014
CASS 11.7 Selecting an approved bank at which to hold client money
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SYSC 4.9 Handover procedures and material
As Published: 2015
SYSC 4.9 Handover procedures and material
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COBS 11.8 Recording telephone conversations and electronic communications
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications
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COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
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COBS 4.6 Past, simulated past and future performance
As Published: 2007
COBS 4.6 Past, simulated past and future performance
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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
As Published: 2013
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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