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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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SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

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PERG 4.12 Appointed representatives

As Published: 2005

PERG 4.12 Appointed representatives

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DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

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Similar To

DTR 1.5 Fees, market abuse safe harbours and sanctions

DEPP 4.2 Urgent statutory notice cases

DEPP 3.4 Urgent supervisory notice cases

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

REC 2.8 Settlement and clearing services

TC 3.1 Record-keeping requirements

SUP 11.4 Requirements on firms

LR 15.6 Notifications and periodic financial information

COLL 4.7 Key investor information and marketing communications

SUP 11.7 Acquisition or increase of control: assessment process and criteria

BIPRU 7.11 Credit derivatives in the trading book

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

APER 3.2 Factors relating to all Statements of Principle

PERG 8.23 Regulated activities

PERG 5.8 The regulated activities: advising on contracts of insurance

DISP App 1.5 Additional considerations

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

SYSC 4.3 Responsibility of senior personnel

PERG 4.12 Appointed representatives

DISP 2.1 Purpose, interpretation and application