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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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DTR 8.2 Approval as a primary information provider
As Published: 2014
DTR 8.2 Approval as a primary information provider
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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
As Published: 2004
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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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
As Published: 2008
GEN 4.5 Statements about authorisation and regulation by the appropriate regulator
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SUP 10A.8 Systems and controls functions
As Published: 2013
SUP 10A.8 Systems and controls functions
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REC 4.2D Suspension and removal of financial instruments from trading
As Published: 2007
REC 4.2D Suspension and removal of financial instruments from trading
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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
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SYSC 3.2 Areas covered by systems and controls
As Published: 2002
SYSC 3.2 Areas covered by systems and controls
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FEES 5.9 Leaving the Financial Ombudsman Service
As Published: 2009
FEES 5.9 Leaving the Financial Ombudsman Service
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
As Published: 2005
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
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CASS 1A.3 Responsibility for CASS operational oversight
As Published: 2010
CASS 1A.3 Responsibility for CASS operational oversight
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