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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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SUP 5.3 Policy on the use of skilled persons
As Published: 2005
SUP 5.3 Policy on the use of skilled persons
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CONC 4.4 Pre-contractual requirements: credit brokers
As Published: 2014
CONC 4.4 Pre-contractual requirements: credit brokers
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CONC 3.11 Not approving certain financial promotions
As Published: 2014
CONC 3.11 Not approving certain financial promotions
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CONC 7.13 Data accuracy and outsourced activities
As Published: 2015
CONC 7.13 Data accuracy and outsourced activities
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COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
As Published: 2007
COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals
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PERG 16.2 What types of funds and businesses are caught?
As Published: 2013
PERG 16.2 What types of funds and businesses are caught?
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BIPRU 7.7 Position risk requirements for collective investment undertakings
As Published: 2007
BIPRU 7.7 Position risk requirements for collective investment undertakings
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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SYSC 4.3A Management body and nomination committee
As Published: 2014
SYSC 4.3A Management body and nomination committee
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PERG 17.2 The basic elements of debt counselling
As Published: 2014
PERG 17.2 The basic elements of debt counselling
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COBS 4.5 Communicating with retail clients (non-MiFID provisions)
As Published: 2008
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
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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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