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DISP 1.10A Complaints data publication rules
As Published: 2010
DISP 1.10A Complaints data publication rules
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DISP 2.6 What is the territorial scope of the relevant jurisdiction?
As Published: 2003
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
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REC 3.22 Restriction of, or instruction to close out, open positions
As Published: 2011
REC 3.22 Restriction of, or instruction to close out, open positions
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COBS 12.2 Investment research and non-independent research
As Published: 2007
COBS 12.2 Investment research and non-independent research
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MCOB 11.8 Customers unable to change regulated mortgage contract, home purchase plan or provider
As Published: 2012
MCOB 11.8 Customers unable to change regulated mortgage contract, home purchase plan or provider
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MCOB 5.3 Applying for a home finance transaction
As Published: 2006
MCOB 5.3 Applying for a home finance transaction
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SUP 10C.9 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10C.9 Minimising overlap with the PRA approved persons regime
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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
As Published: 2007
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
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MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements
As Published: 2010
MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements
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EG 9.2 The FCA’s general policy in this area
As Published: 2016
EG 9.2 The FCA’s general policy in this area
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EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
As Published: 2016
EG 11.2 Criteria for determining whether to exercise powers to obtain restitution
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MAR 10.5 Other reporting, notifications and information requirements
As Published: 2017
MAR 10.5 Other reporting, notifications and information requirements
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CASS 5.4 Non-statutory client money trust
As Published: 2004
CASS 5.4 Non-statutory client money trust
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MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable
As Published: 2015
MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable
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