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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 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

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GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

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PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

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IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

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COBS 15.1 Application

TC 3.1 Record-keeping requirements

REC 2.5 Systems and controls and conflicts

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

LR 13.5 Financial information in Class 1 Circulars

APER 4.7 Statement of Principle 7

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

CASS 8.3 Records and internal controls

CONC 14.1 Application

SYSC 13.9 Outsourcing

COLL 6.2 Dealing

LR 15.4 Continuing obligations

SYSC 6.1 Compliance

LR 15.2 Requirements for listing

ICOBS 2.1 Client categorisation

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 9.3 Prime brokerage agreement disclosure annex

GEN 4.2 Purpose

PERG 13.7 The territorial application of MiFID

IFPRU 2.2 Internal capital adequacy assessment process