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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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CRED 2.2 Structure

As Published: 2007

CRED 2.2 Structure

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COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

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Similar To

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

PERG 13.1 Introduction

COLL 4.3 Approvals and notifications

COLL 4.2 Pre-sale notifications

ICOB 6.1 Application and purpose

COLL 5.1 Introduction

PERG 8.12 Exemptions applying to all controlled activities

COBS 15.3 Exercising a right to cancel

COBS 12.3 Non-independent research

COBS 3.3 General notifications

COBS 4.4 Compensation information

CASS 6.2 Holding of client assets

COBS 20.1 Application

COBS 20.3 Principles and Practices of Financial Management

BIPRU 5.4 Financial collateral

PERG 8.24 Advising on investments

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

CRED 2.2 Structure

COBS 18.3 Corporate finance business

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents