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SUP 10C.3 General material about the definition of controlled functions
As Published: 2015
SUP 10C.3 General material about the definition of controlled functions
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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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COBS 13.1 The obligation to prepare product information
As Published: 2007
COBS 13.1 The obligation to prepare product information
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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DEPP 1.2 Introduction to statutory notices
As Published: 2011
DEPP 1.2 Introduction to statutory notices
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
As Published: 2004
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
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DISP 1.10B Payment services and electronic money complaints reporting
As Published: 2018
DISP 1.10B Payment services and electronic money complaints reporting
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SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
As Published: 2015
SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business
As Published: 2007
COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business
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COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
As Published: 2007
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
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PERG 4.5 Arranging regulated mortgage contracts
As Published: 2013
PERG 4.5 Arranging regulated mortgage contracts
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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