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COBS 8.1 Client agreements: non-MiFID designated investment business
As Published: 2007
COBS 8.1 Client agreements: non-MiFID designated investment business
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FIT 2.1 Honesty, integrity and reputation
As Published: 2003
FIT 2.1 Honesty, integrity and reputation
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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COBS 4.7 Direct offer financial promotions
As Published: 2007
COBS 4.7 Direct offer financial promotions
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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
As Published: 2016
EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
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PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2013
PERG 5.8 The regulated activities: advising on contracts of insurance
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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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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]
As Published: 2016
EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]
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EG 15.3 Disqualification under section 345
As Published: 2016
EG 15.3 Disqualification under section 345
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EG 15.4 Disqualification under section 249 or section 261K
As Published: 2016
EG 15.4 Disqualification under section 249 or section 261K
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DTR 1B.1 Application and purpose (Corporate governance)
As Published: 2008
DTR 1B.1 Application and purpose (Corporate governance)
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LR 3.2 Application for admission to listing
As Published: 2005
LR 3.2 Application for admission to listing
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