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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
As Published: 2004
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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TC 2.1 Assessing and maintaining competence
As Published: 2002
TC 2.1 Assessing and maintaining competence
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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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SUP 18.4 Friendly Society transfers and amalgamations
As Published: 2001
SUP 18.4 Friendly Society transfers and amalgamations
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PERG 9.6 The investment condition (section 236(3) of the Act): general
As Published: 2005
PERG 9.6 The investment condition (section 236(3) of the Act): general
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LR 9.4 Documents requiring prior approval
As Published: 2005
LR 9.4 Documents requiring prior approval
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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DEPP 6.2 Deciding whether to take action
As Published: 2007
DEPP 6.2 Deciding whether to take action
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SUP App 2.15 Run-off plans for closed with-profits funds
As Published: 2005
SUP App 2.15 Run-off plans for closed with-profits funds
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SUP 6.4 Applications for cancellation of permission
As Published: 2004
SUP 6.4 Applications for cancellation of permission
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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
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PERG 9.7 The investment condition: the 'reasonable investor'
As Published: 2005
PERG 9.7 The investment condition: the 'reasonable investor'
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SUP 13A.9 The precautionary measure rule for incoming EEA firms
As Published: 2007
SUP 13A.9 The precautionary measure rule for incoming EEA firms
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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
As Published: 2006
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
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