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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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MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

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SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

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PERG 7.5 When is it appropriate to apply for a certificate?

As Published: 2005

PERG 7.5 When is it appropriate to apply for a certificate?

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SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

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COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2004

COLL 7.5 Schemes or sub-funds that are not commercially viable

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SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

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LR 19.5 Disclosures

As Published: 2006

LR 19.5 Disclosures

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Similar To

INSPRU 3.2 Derivatives in insurance

RCB 4.2 Enforcement powers and penalties

COBS 11.5 Record keeping: client orders and transactions

CASS 5.6 Client money distribution

SYSC 6.1 Compliance

SUP 13A.3 Qualifications for authorisation under the Act

PERG 7.4 Does the article 54 exclusion apply?

DISP App 1.6 Valuing Relevant Benefits

CASS 5.4 Non-statutory client money trust

LR 5.4A Transfer between listing categories: Equity shares

MAR 1.6 Market abuse (manipulating transactions)

COLL 5.5 Cash, borrowing, lending and other provisions

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