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COBS 10.7 Record keeping and retention periods for appropriateness records
As Published: 2008
COBS 10.7 Record keeping and retention periods for appropriateness records
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MAR 8.3 Requirements for benchmark administrators [deleted]
As Published: 2015
MAR 8.3 Requirements for benchmark administrators [deleted]
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COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions
As Published: 2007
COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
As Published: 2001
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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SUP 10C.13 Variation of conditional and time-limited approvals
As Published: 2015
SUP 10C.13 Variation of conditional and time-limited approvals
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EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts
As Published: 2016
EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts
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REC 2.8 Settlement and clearing facilitation services
As Published: 2004
REC 2.8 Settlement and clearing facilitation services
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REC 2.10 Financial crime and market abuse
As Published: 2004
REC 2.10 Financial crime and market abuse
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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REC 6.7 Notification rules for overseas recognised bodies
As Published: 2013
REC 6.7 Notification rules for overseas recognised bodies
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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
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COLL 6.8 Income: accounting, allocation and distribution
As Published: 2006
COLL 6.8 Income: accounting, allocation and distribution
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