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SUP 10C.10 Application for approval and withdrawing an application for approval
As Published: 2015
SUP 10C.10 Application for approval and withdrawing an application for approval
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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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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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SUP 14.6 Cancelling qualification for authorisation
As Published: 2004
SUP 14.6 Cancelling qualification for authorisation
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MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
As Published: 2007
MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
As Published: 2005
PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance
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CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]
As Published: 2015
CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]
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SUP 10A.9 Significant management functions
As Published: 2014
SUP 10A.9 Significant management functions
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CONC 3.10 Financial promotions not in writing
As Published: 2014
CONC 3.10 Financial promotions not in writing
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