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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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EG 2.11 Senior management responsibility
As Published: 2015
EG 2.11 Senior management responsibility
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DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
As Published: 2015
DEPP 8.3 Use of the own-initiative variation of approval power: specific examples
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SYSC 8.1 General outsourcing requirements
As Published: 2006
SYSC 8.1 General outsourcing requirements
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PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
As Published: 2005
PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)
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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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CASS 10.3 Existing records forming part of the CASS resolution pack
As Published: 2014
CASS 10.3 Existing records forming part of the CASS resolution pack
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MCOB 2.4 High pressure sales: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
As Published: 2006
MCOB 2.4 High pressure sales: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
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DISP App 3.11 Obligation to write letters to certain rejected complainants
As Published: 2017
DISP App 3.11 Obligation to write letters to certain rejected complainants
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CONC 10.3 Calculation of prudential resources
As Published: 2014
CONC 10.3 Calculation of prudential resources
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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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MAR 7A.3 Requirements for algorithmic trading
As Published: 2017
MAR 7A.3 Requirements for algorithmic trading
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