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COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS

As Published: 2015

IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS

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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

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COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

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DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

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SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

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PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2017

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

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BIPRU 9.5 Synthetic securitisation

As Published: 2010

BIPRU 9.5 Synthetic securitisation

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EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

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LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

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FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups

As Published: 2007

BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups

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SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

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PERG 4.10B Regulation of buy to let lending

As Published: 2016

PERG 4.10B Regulation of buy to let lending

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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

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EG 19.32 The Payment Accounts Regulations 2015

As Published: 2016

EG 19.32 The Payment Accounts Regulations 2015

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EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

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