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PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
As Published: 2018
PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance
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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
As Published: 2016
EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers
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MAR 9.1 Application, approach and structure
As Published: 2017
MAR 9.1 Application, approach and structure
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PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
As Published: 2017
PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies
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PERG 8.31 Exclusions for advising on investments
As Published: 2007
PERG 8.31 Exclusions for advising on investments
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DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
As Published: 2005
DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
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COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions
As Published: 2007
COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions
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REC 2A.4 Power and procedure for RAP penalties and censures
As Published: 2012
REC 2A.4 Power and procedure for RAP penalties and censures
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DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
As Published: 2008
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
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COBS 9.1 Application and purpose provisions
As Published: 2007
COBS 9.1 Application and purpose provisions
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COBS 9.3 Guidance on assessing suitability
As Published: 2013
COBS 9.3 Guidance on assessing suitability
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BIPRU 1.3 Applications for advanced approaches and waivers
As Published: 2006
BIPRU 1.3 Applications for advanced approaches and waivers
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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
As Published: 2012
PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)
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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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