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REC 4.2 The supervisory relationship with UK recognised bodies
As Published: 2007
REC 4.2 The supervisory relationship with UK recognised bodies
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COLL 8.4 Investment and borrowing powers
As Published: 2006
COLL 8.4 Investment and borrowing powers
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MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
As Published: 2006
MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures
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ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
As Published: 2008
ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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EG 19.32 The Payment Accounts Regulations 2015
As Published: 2016
EG 19.32 The Payment Accounts Regulations 2015
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REC 1.2 Purpose, status and quotations, notes or references
As Published: 2004
REC 1.2 Purpose, status and quotations, notes or references
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CASS 9.2 Prime broker's daily report to clients
As Published: 2010
CASS 9.2 Prime broker's daily report to clients
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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
As Published: 2005
PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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EG 19.34 Markets in Financial Instruments Regulations 2017
As Published: 2017
EG 19.34 Markets in Financial Instruments Regulations 2017
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CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit
As Published: 2015
CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit
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REC 2.7A Position management and position reporting in relation to commodity derivatives
As Published: 2017
REC 2.7A Position management and position reporting in relation to commodity derivatives
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