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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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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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DTR 8.5 Supervision of primary information providers
As Published: 2014
DTR 8.5 Supervision of primary information providers
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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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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
As Published: 2003
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
As Published: 2011
DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition
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ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties
As Published: 2015
ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties
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REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
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