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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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COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

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MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

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PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

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SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

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DEPP 6.7 Discount for early settlement

COND 2.4 Appropriate resources

SUP 9.4 Reliance on individual guidance

PERG 2.11 Persons who are exempt for credit-related regulated activities

SUP 12.2 Introduction

SYSC 6.3 Financial crime

SUP 18.4 Friendly Society transfers and amalgamations

PERG 2.6 Specified investments: a broad outline

PERG 4.10 Exclusions applying to more than one regulated activity

LR 9.6 Notifications

COND 2.5 Suitability

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

SUP 5.4 Appointment and reporting process

MIPRU 4.4 Calculation of capital resources

CONC 7.1 Application

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

COBS 11.6 Use of dealing commission

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

PR 3.1 Approval of prospectus

SUP 12.1 Application and purpose