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DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

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DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

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DISP App 1.1 Introduction

REC 3.26 Proposals to make regulatory provision

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

ICOBS 6.1 Providing product information to customers: general

SYSC 19D.3 Remuneration principles

SUP 15.6 Inaccurate, false or misleading information

COBS 11.6 Use of dealing commission [deleted]

REC 4.9 Disciplinary measures

COND 2.3 Effective supervision

PERG 9.7 The investment condition: the 'reasonable investor'

DTR 2.5 Delaying disclosure of inside information

REC 6.6 Supervision

COLL 6.2 Dealing

ICOBS 8.1 Insurers: general

MAR 5A.9 Suspension and removal of financial instruments

LR 5.4A Transfer between listing categories

EG 9.6 Applications for variation or revocation of prohibition orders

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

DISP 3.5 Resolution of complaints by the Ombudsman