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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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RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

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PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

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SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

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Similar To

COLL 6.9 Independence, names and UCITS business restrictions

SUP 13A.7 Top-up permission

SUP App 3.6 Freedom to provide services

LR 9.5 Transactions

DISP 1.3 Complaints handling rules

LR 13.5 Financial information in Class 1 Circulars

SUP 13.2 Introduction

LR 20.5 Disclosures

PR 5.1 Validity of prospectus

REC 4.5 FCA supervision of action by UK RIEs under their default rules

REC 3.15 Suspension of services and inability to operate facilities

PERG 8.12 Exemptions applying to all controlled activities

DTR 5.4 Aggregation of managed holdings

SYSC 3.2 Areas covered by systems and controls

SUP 11.3 Requirements on controllers or proposed controllers under the Act

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

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

RCB 3.2 Annual confirmations of compliance and asset pool monitor

PERG 5.12 Link between activities and the United Kingdom

SUP 13A.3 Qualifications for authorisation under the Act