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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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SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

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SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

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SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

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SUP 10A.16 How to apply for approval and give notifications

As Published: 2013

SUP 10A.16 How to apply for approval and give notifications

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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

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Similar To

COLL 8.5 Powers and responsibilities

SUP 15.2 Purpose

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

REC 2.7 Access to facilities

CREDS App 1.1 Key Definitions

PERG 10.1 Background

LR 13.8 Other circulars

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

BIPRU 13.8 Securities financing transactions

PERG 10.4A The application of EU Directives

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

PERG 2.11

PRIN 1.2 Clients and the Principles

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