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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 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

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SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service

As Published: 2003

DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service

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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

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PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

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Similar To

REC 4.2C Control over a UK RIE

SUP 16.3 General provisions on reporting

SUP 17.2 Making transaction reports

CRED 10.1 Application and purpose

PERG 4.5 Arranging regulated mortgage contracts

PERG 8.36 Illustrative tables

COBS 11.2 Best execution

SUP 12.5 Contracts: required terms

SYSC 13.9 Outsourcing

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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

COLL 6.9 Independence, names and UCITS business restrictions

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