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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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FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

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CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

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SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

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EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

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REC 4.3 Risk assessments for UK recognised bodies

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

EG 19.22 Decision making under the Payment Services Regulations

SUP 9.2 Making a request for individual guidance

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PERG 2.6 Specified investments: a broad outline

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EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

REC 4.9 Disciplinary measures

SYSC 10.1 Application

SYSC 4.2 Persons who effectively direct the business

EG 20.3 Decision making under the CCA Order

ICOBS 6.4 Pre- and post-contract information: protection policies

SUP 10A.6 FCA governing functions

PERG 9.10 Significance of being an open-ended investment company

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