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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 9.4 Facilities in the United Kingdom

As Published: 2004

COLL 9.4 Facilities in the United Kingdom

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COLL 9.3 Section 270 and 272 recognised schemes

As Published: 2004

COLL 9.3 Section 270 and 272 recognised schemes

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COBS 4.4 Compensation information

As Published: 2009

COBS 4.4 Compensation information

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COBS 10.6 When a firm need not assess appropriateness

As Published: 2007

COBS 10.6 When a firm need not assess appropriateness

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COBS 10.7 Record keeping and retention periods for appropriateness records

As Published: 2008

COBS 10.7 Record keeping and retention periods for appropriateness records

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Similar To

COBS 18.3 Corporate finance business

DISP 1.11 The Society of Lloyd's

COBS 12.1 Purpose and application

COBS 17.1 Providing information to claimants and dealing with claims

COBS 3.8 Policies, procedures and records

COBS 10.3 Warning the client

COBS 11.5 Record keeping: client orders and transactions

COBS 12.4 Research recommendations: required disclosures

COBS 3.2 Clients

COBS 10.4 Assessing appropriateness: when it need not be done

PERG 5.8 The regulated activities: advising on contracts of insurance

MCOB 7.6 Mortgages: event-driven information

COLL 4.5 Reports and accounts

REC 2.7 Access to facilities

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 9.4 Facilities in the United Kingdom

COLL 9.3 Section 270 and 272 recognised schemes

COBS 4.4 Compensation information

COBS 10.6 When a firm need not assess appropriateness

COBS 10.7 Record keeping and retention periods for appropriateness records