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COLL 9.4 Facilities in the United Kingdom
As Published: 2011
COLL 9.4 Facilities in the United Kingdom
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COBS 14.3 Information about designated investments (non-MiFID provisions)
As Published: 2007
COBS 14.3 Information about designated investments (non-MiFID provisions)
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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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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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ICOBS 4.4 Commission disclosure for commercial customers
As Published: 2008
ICOBS 4.4 Commission disclosure for commercial customers
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PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
As Published: 2018
PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity
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SUP 13A.3 Qualifications for authorisation under the Act
As Published: 2007
SUP 13A.3 Qualifications for authorisation under the Act
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CONC App 1.1 Total charge for credit rules for certain agreements secured on land
As Published: 2013
CONC App 1.1 Total charge for credit rules for certain agreements secured on land
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
As Published: 2016
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
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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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MAR 5.10 Operation of an SME growth market
As Published: 2017
MAR 5.10 Operation of an SME growth market
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DISP App 3.7 Approach to redress at step 1
As Published: 2011
DISP App 3.7 Approach to redress at step 1
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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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SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
As Published: 2002
SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
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