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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 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

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LR 13.6 Related party circulars

As Published: 2007

LR 13.6 Related party circulars

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SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

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SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

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Similar To

SYSC 6.1 Compliance

COLL 12.4 UCITS product passport

PR 2.3 Minimum information to be included in a prospectus

COLL 7.7 UCITS mergers

PERG 8.28 Advice or information

REC 5.2 Application process

DTR 4.1 Annual financial report

PRIN 4.1 Principles: MiFID business

APER 4.2 Statement of Principle 2

REC 2.2 Method of satisfying the recognition requirements

LR 3.5 Block listing

PRIN 1.1 Application and purpose

COBS 11.6 Use of dealing commission

APER 4.6 Statement of Principle 6

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

SUP 3.10 Duties of auditors: notification and report on client assets

DTR 5.8 Procedures for the notification and disclosure of major holdings

LR 13.6 Related party circulars

SUP 13.3 Establishing a branch in another EEA State

SUP 12.5 Contracts: required terms