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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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PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

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SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

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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 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

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MCOB 2.8 Record keeping

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COBS 4.5 Communicating with retail clients

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

SYSC 6.2 Internal audit

PERG 13.6 CRD IV

FEES 1.1 Application and Purpose

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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