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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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REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

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COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

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REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

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EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

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SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

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Effective Period

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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