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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
As Published: 2004
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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CASS 6.6 Records, accounts and reconciliations
As Published: 2014
CASS 6.6 Records, accounts and reconciliations
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COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme
As Published: 2013
COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme
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GEN 1.2 Referring to approval by the appropriate regulator
As Published: 2005
GEN 1.2 Referring to approval by the appropriate regulator
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LR 8.6 Criteria for approval as a sponsor
As Published: 2005
LR 8.6 Criteria for approval as a sponsor
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REC 3.15 Suspension of services and inability to operate facilities
As Published: 2007
REC 3.15 Suspension of services and inability to operate facilities
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FEES 10.1 Application, purpose and background
As Published: 2015
FEES 10.1 Application, purpose and background
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
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EG 6.2 Publicity during, or upon the conclusion of regulatory action
As Published: 2015
EG 6.2 Publicity during, or upon the conclusion of regulatory action
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SUP 16.15 Reporting under the Electronic Money Regulations
As Published: 2011
SUP 16.15 Reporting under the Electronic Money Regulations
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SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms
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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
As Published: 2016
EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
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