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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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SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

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TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

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CASS 7.12 Organisational requirements: client money

As Published: 2015

CASS 7.12 Organisational requirements: client money

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SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

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REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

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INSPRU 7.1 Application

As Published: 2006

INSPRU 7.1 Application

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LR 1.3 Information gathering and publication

DISP 4.2 Standard terms

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

PERG 8.6 Communicate

ICOBS 5.2 Statement of demands and needs

ICOBS 2.5 Exclusion of liability and reliance on others

IFPRU 6.1 Market risk requirements

SUP 16.5 Annual Close Links Reports

MAR 5.2 Purpose

CASS 9.4 Information to clients concerning custody assets and client money

MAR 5.4 Finalisation of transactions

MAR 5.6 Reporting requirements

MAR 5.5 Monitoring compliance with the rules of the MTF

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