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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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SUP 13A.2 EEA firms and Treaty firms

As Published: 2009

SUP 13A.2 EEA firms and Treaty firms

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GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

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CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

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FEES App 1 Annex 2 Further information on fees

As Published: 2012

FEES App 1 Annex 2 Further information on fees

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PERG 11.1 Background

As Published: 2006

PERG 11.1 Background

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DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

As Published: 2005

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

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PERG 7.1 Application and purpose

As Published: 2006

PERG 7.1 Application and purpose

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PERG 8.17A Financial promotions concerning insurance mediation activities

As Published: 2005

PERG 8.17A Financial promotions concerning insurance mediation activities

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Similar To

COLL 12.2 UK UCITS management companies

REC 3.6 Constitution and governance

REC 3.15 Suspension of services and inability to operate facilities

REC 2A.4 Power and procedure for RAP penalties and censures

SUP 3.2 Purpose

INSPRU 1.1 Application

MIPRU 4.3 Calculation of annual income

SUP App 3.2 Purpose

PERG 12.1 Background

PERG 8.34 The business test

REC 3.17 Inability to discharge regulatory functions

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