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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

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FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

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FEES 4.4 Information on which Fees are calculated

As Published: 2007

FEES 4.4 Information on which Fees are calculated

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REC 2.8 Settlement and clearing services

As Published: 2004

REC 2.8 Settlement and clearing services

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BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

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SYSC 1.4 Application of SYSC 11 to SYSC 18

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 18

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Similar To

REC 2.4 Suitability

REC 2.5 Systems and controls and conflicts

CRED 2.2 Structure

REC 2.3 Financial resources

REC 2.2 Method of satisfying the recognition requirements

REC 2.16A Operation of a multilateral trading facility

REC 5.2 Application process

SYSC 3.2 Areas covered by systems and controls

REC 2.7 Access to facilities

SYSC 7.1 Risk control

SYSC 5.1 Skills, knowledge and expertise

DEPP 6.2 Deciding whether to take action

REC 3.4 Key individuals and internal organisation

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading