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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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DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

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COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

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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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SYSC 4.4 Apportionment of responsibilities

SYSC 4.2 Persons who effectively direct the business

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

BIPRU 12.3 Liquidity risk management

SYSC 13.6 People

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

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

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

SYSC 2.2 Recording the apportionment

REC 2.10 Financial crime and market abuse

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

LR 8.7 Supervision of sponsors

COLL 8.5 Powers and responsibilities

COLL 6.3 Valuation and pricing

REC 2.4 Suitability

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

DISP 1.1 Purpose and application

COBS 20.2 Treating with-profits policyholders fairly

LR 9.2 Requirements with continuing application

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing