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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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COBS 6.1F Using a platform service for arranging and advising
As Published: 2011
COBS 6.1F Using a platform service for arranging and advising
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REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
As Published: 2004
REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)
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PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
As Published: 2014
PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
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EG 19.21 The conduct of investigations under the Payment Services Regulations
As Published: 2016
EG 19.21 The conduct of investigations under the Payment Services Regulations
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REC 3.5 Disciplinary action and events relating to key individuals
As Published: 2013
REC 3.5 Disciplinary action and events relating to key individuals
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FEES 11.1 Application, purpose and background
As Published: 2015
FEES 11.1 Application, purpose and background
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PERG 4.18 Regulated activities related to mortgages: flowchart
As Published: 2005
PERG 4.18 Regulated activities related to mortgages: flowchart
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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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