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COCON 3.1 General factors for assessing compliance
As Published: 2016
COCON 3.1 General factors for assessing compliance
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SYSC 19E.2 Remuneration policies and practices
As Published: 2016
SYSC 19E.2 Remuneration policies and practices
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EG 2.1 Case selection and the use of enforcement powers
As Published: 2016
EG 2.1 Case selection and the use of enforcement powers
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DTR 8.2 Approval as a primary information provider
As Published: 2019
DTR 8.2 Approval as a primary information provider
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CONC 10.3 Calculation of prudential resources
As Published: 2014
CONC 10.3 Calculation of prudential resources
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SYSC 13.8 External events and other changes
As Published: 2016
SYSC 13.8 External events and other changes
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APER 3.2 Factors relating to all Statements of Principle
As Published: 2015
APER 3.2 Factors relating to all Statements of Principle
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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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SUP 5.6 Confidential information and privilege
As Published: 2016
SUP 5.6 Confidential information and privilege
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PERG 8.18 Financial promotions concerning the Lloyd’s market
As Published: 2007
PERG 8.18 Financial promotions concerning the Lloyd’s market
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