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REC 3.13 Delegation of relevant functions
As Published: 2011
REC 3.13 Delegation of relevant functions
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DTR 5.8 Procedures for the notification and disclosure of major holdings
As Published: 2007
DTR 5.8 Procedures for the notification and disclosure of major holdings
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MCOB 6A.5 MCD distance contracts with retail customers
As Published: 2019
MCOB 6A.5 MCD distance contracts with retail customers
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COBS 3.7 Providing clients with a higher level of protection
As Published: 2017
COBS 3.7 Providing clients with a higher level of protection
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CONC 10.3 Calculation of prudential resources
As Published: 2014
CONC 10.3 Calculation of prudential resources
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COBS 10.6 When a firm need not assess appropriateness
As Published: 2017
COBS 10.6 When a firm need not assess appropriateness
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SUP App 2.8 Ceasing to effect contracts of insurance
As Published: 2002
SUP App 2.8 Ceasing to effect contracts of insurance
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COBS 10.4 Assessing appropriateness: when it need not be done
As Published: 2017
COBS 10.4 Assessing appropriateness: when it need not be done
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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
As Published: 2010
DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases
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SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
As Published: 2015
SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation
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