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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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CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

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LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

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SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

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COLL 11.1 Introduction

As Published: 2011

COLL 11.1 Introduction

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SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

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Effective Period

Similar To

LR 9.6 Notifications

SYSC 4.2 Persons who effectively direct the business

BIPRU 4.10 The IRB approach: Credit risk mitigation

BIPRU 7.8 Securities underwriting

SUP 12.9 Record keeping

SYSC 12.1 Application

LR 10.8 Miscellaneous

LR 11.1 Related party transactions

BIPRU 7.9 Use of a CAD 1 model

MCOB 5.4 Mortgage illustrations: general

SYSC 6.3 Financial crime

BIPRU 12.6 Simplified ILAS

PERG 13.4 Financial Instruments

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

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

CASS 8.3 Records and internal controls

LR 18.2 Requirements for listing

SUP 16.1 Application

COLL 11.1 Introduction

SUP App 3.6 Freedom to provide services