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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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DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

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SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

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GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

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REC 3.3 Waivers

As Published: 2001

REC 3.3 Waivers

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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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SYSC 4.2 Persons who effectively direct the business

As Published: 2002

SYSC 4.2 Persons who effectively direct the business

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Effective Period

Similar To

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SUP 13.2 Introduction

REC 2.7 Access to facilities

LR 8.6 Criteria for approval as a sponsor

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

SUP 15.9 Notifications by members of financial conglomerates

REC 3.7 Auditors

APER 4.4 Statement of Principle 4

COLL 4.5 Reports and accounts

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

SUP 2.1 Application and purpose

REC 1.1 Application

SUP 13.1 Application and purpose

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