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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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COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

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LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

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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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APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

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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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Effective Period

Similar To

SYSC 4.2 Persons who effectively direct the business

BIPRU 12.3 Liquidity risk management

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

SYSC 13.6 People

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SUP 13A.9 The precautionary measure rule for incoming EEA firms

SYSC 2.2 Recording the apportionment

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

REC 2.10 Financial crime and market abuse

LR 8.7 Supervision of sponsors

COLL 6.3 Valuation and pricing

REC 2.4 Suitability

DISP 1.1 Purpose and application

COBS 20.2 Treating with-profits policyholders fairly

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

COLL 8.5 Powers and responsibilities

LR 9.2 Requirements with continuing application

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

APER 3.1 Introduction

CASS 5.5 Segregation and the operation of client money accounts