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COBS 4.5 Communicating with retail clients (non-MiFID provisions)
As Published: 2008
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
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COLL 6.12 Risk management policy and risk measurement
As Published: 2011
COLL 6.12 Risk management policy and risk measurement
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PERG 7.4 Does the article 54 exclusion apply?
As Published: 2006
PERG 7.4 Does the article 54 exclusion apply?
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PERG 1.4 General guidance to be found in PERG
As Published: 2006
PERG 1.4 General guidance to be found in PERG
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REC 6.1 Introduction and legal background
As Published: 2007
REC 6.1 Introduction and legal background
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PERG 4.14 Mortgage activities carried on by professional firms
As Published: 2019
PERG 4.14 Mortgage activities carried on by professional firms
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SUP 10C.8 The other local responsibility function (SMF22)
As Published: 2015
SUP 10C.8 The other local responsibility function (SMF22)
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REC 2.5 Systems and controls, algorithmic trading and conflicts
As Published: 2004
REC 2.5 Systems and controls, algorithmic trading and conflicts
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