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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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DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

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SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

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PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

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EG 9.9 The effect of the FCA’s decision to withdraw approval

As Published: 2016

EG 9.9 The effect of the FCA’s decision to withdraw approval

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

As Published: 2011

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

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CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

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Similar To

DEPP 7.2 Interviews

COLL 4.2 Pre-sale notifications

SUP 16.4 Annual controllers report

REC 4.3 Risk assessments for UK recognised bodies

SUP App 3.3 Background

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REC 2A.4 Power and procedure for RAP penalties and censures

SUP 10C.13 Variation of conditional and time-limited approvals

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PRIN 3.1 Who?

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