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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

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SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

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SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

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ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies

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EG 2.5 Cases where other authorities have an interest

DEPP 6.6 Financial penalties for late and incomplete submission of reports

PERG 2.11 Persons who are exempt for credit-related regulated activities

CONC 7.6 Exercise of continuous payment authority

GEN 4.3 Letter disclosure

LR 5.6 Reverse takeovers

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INSPRU 1.2 Mathematical reserves

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

REC 3.15 Suspension of services and inability to operate facilities

COBS 11.2 Best execution for AIFMs and residual CIS operators

REC 4.1 Application and purpose

REC 3.19 Investigations

DEPP 6.5A The five steps for penalties imposed on firms

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

SUP 10A.9 Significant management functions

SUP 15.11 Notification of COCON breaches and disciplinary action

PERG 5.1 Application and purpose

ICOBS 6.4 Pre- and post-contract information: protection policies