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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

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MCOB 5.2 Purpose

As Published: 2006

MCOB 5.2 Purpose

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MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

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PERG 4.8 Administering a regulated mortgage contract

As Published: 2008

PERG 4.8 Administering a regulated mortgage contract

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REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

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MCOB 2.5A The customer's best interests

As Published: 2012

MCOB 2.5A The customer's best interests

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DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration