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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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PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

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GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

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PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

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CASS 3.1 Application and Purpose

As Published: 2007

CASS 3.1 Application and Purpose

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CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2005

CASS 5.8 Safe keeping of client's documents and other assets

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CASS 5.3 Statutory trust

As Published: 2004

CASS 5.3 Statutory trust

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Similar To

COBS 15.1 Application

TC 3.1 Record-keeping requirements

REC 2.5 Systems and controls and conflicts

LR 13.5 Financial information in Class 1 Circulars

SYSC 6.1 Compliance

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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

COLL 6.1 Introduction and Application

SYSC 13.9 Outsourcing

COLL 6.2 Dealing

LR 15.2 Requirements for listing

LR 15.4 Continuing obligations

ICOBS 2.1 Client categorisation

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