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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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MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

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COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

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SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

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COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

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PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

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MAR 8.3 Requirements for benchmark administrators

As Published: 2013

MAR 8.3 Requirements for benchmark administrators

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FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

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COBS 12.2 Investment research

SUP 13.12 Sources of further information

CASS 5.5 Segregation and the operation of client money accounts

COBS 6.1 Information about the firm and compensation information

FEES 3.2 Obligation to pay fees

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CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

DTR 8.5 Supervision of primary information providers

COBS 9.6 Special rules for giving basic advice on a stakeholder product

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GENPRU 2.2 Capital resources

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