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TC App 4.1 Appropriate Qualification tables
As Published: 2010
TC App 4.1 Appropriate Qualification tables
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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CONC 2.5 Conduct of business: credit broking
As Published: 2014
CONC 2.5 Conduct of business: credit broking
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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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ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties
As Published: 2015
ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties
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SUP App 2.8 Ceasing to effect contracts of insurance
As Published: 2002
SUP App 2.8 Ceasing to effect contracts of insurance
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COBS 22.2 Restrictions on the retail distribution of mutual society shares
As Published: 2015
COBS 22.2 Restrictions on the retail distribution of mutual society shares
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BIPRU 9.10 Reduction in risk-weighted exposure amounts
As Published: 2007
BIPRU 9.10 Reduction in risk-weighted exposure amounts
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MAR 9.1 Application, introduction, approach and structure
As Published: 2017
MAR 9.1 Application, introduction, approach and structure
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EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]
As Published: 2016
EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]
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PERG 9.4 Collective investment scheme (section 235 of the Act)
As Published: 2011
PERG 9.4 Collective investment scheme (section 235 of the Act)
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