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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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COBS 14.4 Provision of information by an intermediate Unitholder
As Published: 2011
COBS 14.4 Provision of information by an intermediate Unitholder
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COBS 9.5 Record keeping and retention periods for suitability records
As Published: 2007
COBS 9.5 Record keeping and retention periods for suitability records
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COBS 6.1G Re-registration of title to retail investment products
As Published: 2011
COBS 6.1G Re-registration of title to retail investment products
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SUP 15.3 General notification requirements
As Published: 2004
SUP 15.3 General notification requirements
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PERG 8.17 Financial promotions concerning agreements for qualifying credit
As Published: 2005
PERG 8.17 Financial promotions concerning agreements for qualifying credit
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SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
As Published: 2001
SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies
As Published: 2007
COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies
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COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
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SUP 8A.1 Application, purpose and interpretation
As Published: 2014
SUP 8A.1 Application, purpose and interpretation
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PERG 13.3 Investment Services and Activities
As Published: 2012
PERG 13.3 Investment Services and Activities
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SUP 8.5 Notification of altered circumstances relating to waivers
As Published: 2001
SUP 8.5 Notification of altered circumstances relating to waivers
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