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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 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

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REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

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CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

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REC 1.2 Purpose, status and quotations

As Published: 2004

REC 1.2 Purpose, status and quotations

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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

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COLL 6.13 Record keeping

DTR 6.2 Filing information and use of language

REC 3.6 Constitution and governance

SYSC 3.1 Systems and Controls

PERG 5.10 Renewals

SUP 1A.3 The FCA's approach to supervision

IFPRU 8.2 Large Exposures

MCOB 12.2 Purpose

REC 2.7 Access to facilities

INSPRU 1.5 Internal-contagion risk

SUP 7.1 Application and purpose

REC 6.5 FCA decision on recognition

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