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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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COBS 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability

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CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

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COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

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CASS 7.18 Acknowledgment letters

As Published: 2015

CASS 7.18 Acknowledgment letters

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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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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

COBS 9.3 Guidance on assessing suitability

CASS 7.19 Clearing member client money sub-pools

COBS 11.3 Client order handling

CASS 7.18 Acknowledgment letters

EG 2.1 Case selection and the use of enforcement powers