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PR 5.5 Persons responsible for a prospectus
As Published: 2012
PR 5.5 Persons responsible for a prospectus
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REC 4.3 Risk assessments for UK recognised bodies
As Published: 2013
REC 4.3 Risk assessments for UK recognised bodies
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PERG 9.5 The property condition (section 236(2) of the Act)
As Published: 2005
PERG 9.5 The property condition (section 236(2) of the Act)
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COBS 11.8 Recording telephone conversations and electronic communications [deleted]
As Published: 2008
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
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DISP 2.2 Which complaints can be dealt with under the Financial Ombudsman Service?
As Published: 2004
DISP 2.2 Which complaints can be dealt with under the Financial Ombudsman Service?
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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
As Published: 2015
EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004
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REC 3.14 Products, services and normal hours of operation
As Published: 2007
REC 3.14 Products, services and normal hours of operation
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REC 3.5 Disciplinary action and events relating to members of the management body
As Published: 2013
REC 3.5 Disciplinary action and events relating to members of the management body
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SUP 3.11 Review of auditor’s client assets report
As Published: 2011
SUP 3.11 Review of auditor’s client assets report
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LR 15.6 Notifications and periodic financial information
As Published: 2007
LR 15.6 Notifications and periodic financial information
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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
As Published: 2017
TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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CONC 2.5A Conduct of business: high-cost short-term credit (HCSTC) products on price comparison websites
As Published: 2016
CONC 2.5A Conduct of business: high-cost short-term credit (HCSTC) products on price comparison websites
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