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COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
As Published: 2011
COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
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COBS 19.1 Pension transfers, conversions, and opt-outs
As Published: 2007
COBS 19.1 Pension transfers, conversions, and opt-outs
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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 16.9 Appointed representatives annual report
As Published: 2002
SUP 16.9 Appointed representatives annual report
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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
As Published: 2016
EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
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PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
As Published: 2014
PERG 8.17-A Financial promotions concerning consumer credit and consumer hire
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EG 13.12 Insolvency regime and relevant sections of the Act
As Published: 2016
EG 13.12 Insolvency regime and relevant sections of the Act
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EG 2.15 Decision making in the context of regulatory enforcement action
As Published: 2016
EG 2.15 Decision making in the context of regulatory enforcement action
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REC 2.7A Position management and position reporting in relation to commodity derivatives
As Published: 2017
REC 2.7A Position management and position reporting in relation to commodity derivatives
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MAR 4.3 Support of the Takeover Panel's Functions
As Published: 2007
MAR 4.3 Support of the Takeover Panel's Functions
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SYSC 22.5 Giving references: additional rules and guidance for all firms
As Published: 2016
SYSC 22.5 Giving references: additional rules and guidance for all firms
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COLL 12.3 EEA UCITS management companies
As Published: 2013
COLL 12.3 EEA UCITS management companies
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