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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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COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

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PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

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COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

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CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

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COBS 18.3 Corporate finance business

COBS 6.1E Platform services: platform charges and using a platform service for advising

COBS 9.4 Suitability reports

COBS 19.5 Independent governance committees (IGCs)

SUP 17.2 Making transaction reports

COBS 21.2 Rules for firms engaged in linked long-term insurance business

COBS 16.4 Statements of client designated investments or client money

COBS 9.5 Record keeping and retention periods for suitability records

SUP 17.1 Application

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

COLL 5.2 General investment powers and limits for UCITS schemes

COBS 2.4 Agent as client and reliance on others

INSPRU 1.5 Internal-contagion risk

CASS 7.10 Application and purpose

COLL 4.5 Reports and accounts

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

COBS 4.7 Direct offer financial promotions

PERG 13.3 Investment Services and Activities

COBS 6.4 Disclosure of charges, remuneration and commission

CASS 7A.2 Primary pooling events