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REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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CASS 5.5 Segregation and the operation of client money accounts
As Published: 2004
CASS 5.5 Segregation and the operation of client money accounts
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PR 2.3 Minimum information to be included in a prospectus
As Published: 2007
PR 2.3 Minimum information to be included in a prospectus
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REC 2A.3 Guidance on RAP recognition requirements
As Published: 2011
REC 2A.3 Guidance on RAP recognition requirements
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REC 4.2B Exercise of passport rights by a UK RIE
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE
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SUP 5.4 Appointment and reporting process
As Published: 2001
SUP 5.4 Appointment and reporting process
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COBS 4.10 Systems and controls and approving and communicating financial promotions
As Published: 2007
COBS 4.10 Systems and controls and approving and communicating financial promotions
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
As Published: 2010
COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
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COBS 2.1 Acting honestly, fairly and professionally
As Published: 2007
COBS 2.1 Acting honestly, fairly and professionally
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LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
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