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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 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

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PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

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SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

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SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

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PERG 1.1 Application and purpose

As Published: 2005

PERG 1.1 Application and purpose

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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COLL 6.13 Record keeping

PERG 1.2 Introduction

SYSC 4.4 Apportionment of responsibilities

SUP 16.6 Compliance reports

PERG 4.13 Other exemptions

COLL 6.3 Valuation and pricing

PERG 16.4 Acting as a depositary of an AIF

PERG 4.1 Application and purpose

COLL 4.2 Pre-sale notifications

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

REC 6.2 Applications

REC 3.14 Products, services and normal hours of operation

LR 15.4 Continuing obligations

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