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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

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COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

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CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

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GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

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REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

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MCOB 7.4 Mortgages: disclosure at the start of the contract

As Published: 2004

MCOB 7.4 Mortgages: disclosure at the start of the contract

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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

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SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

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DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

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Similar To

FIT 2.1 Honesty, integrity and reputation

DTR 2.5 Delaying disclosure of inside information

BIPRU 5.3 On balance sheet netting

COBS 14.2 Providing product information to clients

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DTR 8.4 Continuing obligations

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COBS 4.5 Communicating with retail clients (non-MiFID provisions)

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

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IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products