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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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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

…

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

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Effective Period

Similar To

SYSC 4.2 Persons who effectively direct the business

REC 3.4 Key individuals and internal organisation

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

PERG 8.14 Other financial promotions

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

COLL 8.5 Powers and responsibilities

LR 8.7 Supervision of sponsors

COLL 6.3 Valuation and pricing

REC 2.4 Suitability

COBS 20.2 Treating with-profits policyholders fairly

DISP 1.1 Purpose and application

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

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

LR 9.2 Requirements with continuing application