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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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FIT 2.3 Financial soundness

As Published: 2001

FIT 2.3 Financial soundness

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SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

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FIT 2.2 Competence and capability

As Published: 2007

FIT 2.2 Competence and capability

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SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

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GEN 6.1 Payment of financial penalties

PERG 5.11 Other aspects of exclusions

SUP 16.10 Verification of standing data

REC 2.16A Operation of a multilateral trading facility

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CREDS 10.1 Application and purpose

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LR 13.4 Class 1 circulars

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DTR 1A.1 Application and purpose (Transparency rules)

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COBS 20.2 Treating with-profits policyholders fairly

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

FIT 2.3 Financial soundness

SUP 5.1 Application and purpose

FIT 2.2 Competence and capability

SUP 3.11 Review of auditor’s client assets report