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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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BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

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PERG 13.4 Financial Instruments

As Published: 2007

PERG 13.4 Financial Instruments

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LR 5.4A Transfer between listing categories: Equity shares

As Published: 2009

LR 5.4A Transfer between listing categories: Equity shares

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SYSC 19D.3 Remuneration principles

As Published: 2015

SYSC 19D.3 Remuneration principles

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IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

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SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

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COND 1.1A Application

COLL 6.12 Risk management policy and risk measurement

LR 10.2 Classifying transactions

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

PERG 13.5 Exemptions from MiFID

INSPRU 1.5 Internal-contagion risk

COLL 4.3 Approvals and notifications

LR 14.3 Continuing obligations

SYSC 5.1 Skills, knowledge and expertise

IPRU-INV 13.1A FINANCIAL RESOURCES REQUIREMENTS FOR AN EXEMPT CAD FIRM

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SUP 6.5 Ending authorisation

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