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DISP 1.1A Complaints handling requirements for MiFID complaints
As Published: 2017
DISP 1.1A Complaints handling requirements for MiFID complaints
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BIPRU 14.2 Calculation of the capital requirement for CCR
As Published: 2006
BIPRU 14.2 Calculation of the capital requirement for CCR
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EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
As Published: 2018
EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
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MAR 2.5 The Price Stabilising Rules: overseas provisions
As Published: 2003
MAR 2.5 The Price Stabilising Rules: overseas provisions
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EG 19.35 Data Reporting Services Regulations 2017
As Published: 2017
EG 19.35 Data Reporting Services Regulations 2017
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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COBS 6.4 Disclosure of charges, remuneration and commission
As Published: 2007
COBS 6.4 Disclosure of charges, remuneration and commission
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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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COBS 14.2 Providing product information to clients
As Published: 2007
COBS 14.2 Providing product information to clients
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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FEES 4.2 Obligation to pay periodic fees
As Published: 2006
FEES 4.2 Obligation to pay periodic fees
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SUP 10C.11 Statements of responsibilities
As Published: 2015
SUP 10C.11 Statements of responsibilities
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GENPRU 1.2 Adequacy of financial resources
As Published: 2006
GENPRU 1.2 Adequacy of financial resources
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BIPRU 12.5 Individual Liquidity Adequacy Standards
As Published: 2009
BIPRU 12.5 Individual Liquidity Adequacy Standards
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