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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 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

…

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

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BIPRU 9.2 Approach to be used

CREDS 2.1 Application and purpose

COBS 19.3 Product disclosure to members of occupational pension schemes

SUP 15.3 General notification requirements

PERG 8.12 Exemptions applying to all controlled activities

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

BIPRU 12.8 Cross-border and intra-group management of liquidity

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

LR 8.6 Criteria for approval as a sponsor

REC 3.16 Information technology systems

DTR 1.4 Suspension of trading

CONC 7.8 Jurisdictional requirements

SUP 9.4 Reliance on individual guidance

DISP App 3.5 Re-assessing rejected claims

CASS 7A.1 Application and purpose

MCOB 11.8 Customers unable to change regulated mortgage contract, home purchase plan or provider

REC 2A.1 Introduction

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 18.5 Residual CIS operators, UCITS management companies and AIFMs

CASS 9.5 Reporting to clients on request