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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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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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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2018
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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FEES 6.3 The FSCS's power to impose levies
As Published: 2006
FEES 6.3 The FSCS's power to impose levies
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EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
As Published: 2016
EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices
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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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COBS 9.1 Application and purpose provisions
As Published: 2007
COBS 9.1 Application and purpose provisions
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REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
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FEES App 1 Annex 2 Further information on fees
As Published: 2019
FEES App 1 Annex 2 Further information on fees
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PERG 8.17A Financial promotions concerning insurance distribution activities
As Published: 2018
PERG 8.17A Financial promotions concerning insurance distribution activities
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