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DEPP 6.6 Financial penalties for late and incomplete submission of reports
As Published: 2010
DEPP 6.6 Financial penalties for late and incomplete submission of reports
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COBS 18.2 Energy market activity and oil market activity
As Published: 2007
COBS 18.2 Energy market activity and oil market activity
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DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
As Published: 2009
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
As Published: 2018
CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators
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PERG 12.6 Advising on conversion or transfer of pension benefits
As Published: 2015
PERG 12.6 Advising on conversion or transfer of pension benefits
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COBS 4.2 Fair, clear and not misleading communications
As Published: 2007
COBS 4.2 Fair, clear and not misleading communications
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COBS 18.11 Authorised professional firms
As Published: 2007
COBS 18.11 Authorised professional firms
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EG 6.6 Publicity during, or upon the conclusion of criminal action (see chapter 12)
As Published: 2016
EG 6.6 Publicity during, or upon the conclusion of criminal action (see chapter 12)
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DEPP 3.1 The Regulatory Decisions Committee
As Published: 2007
DEPP 3.1 The Regulatory Decisions Committee
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EG 19.11 Financial Services (Distance Marketing) Regulations 2004
As Published: 2016
EG 19.11 Financial Services (Distance Marketing) Regulations 2004
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