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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

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LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

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DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

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SUP 16.5 Annual Close Links Reports

As Published: 2001

SUP 16.5 Annual Close Links Reports

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CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

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EG 7.5 Payment of financial penalties

BIPRU 12.1 Application

PERG 1.3 Status of guidance

SUP 7.1 Application and purpose

MAR 5AA.1 Operation of a multilateral system as an MTF or OTF

SUP 16.10 Verification of firm details

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

CASS 9.5 Reporting to clients on request

COBS 16.4 Statements of client designated investments or client money

COBS 14.3 Information about designated investments (non-MiFID provisions)

CASS 8.3 Records and internal controls

COBS 9.3 Guidance on assessing suitability

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

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

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

LR 8.6 Criteria for approval as a sponsor

DTR 8.4 Continuing obligations

SUP 16.5 Annual Close Links Reports

CASS 7.16 The standard methods of internal client money reconciliation