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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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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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APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

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BIPRU 14.2 Calculation of the capital requirement for CCR

As Published: 2006

BIPRU 14.2 Calculation of the capital requirement for CCR

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GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources

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CASS 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

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Similar To

EG 19.1 Introduction

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

DTR 1.4 Suspension of trading

EG 10.3 Asset-freezing injunctions

EG 10.4 Other relevant powers

DISP App 3.5 Re-assessing rejected claims

EG 3.7 Investigations to assist overseas authorities (section 169)

EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices

EG 4.14 Joint investigations with the PRA

EG 3.1 Introduction

DEPP 8.3 Use of the own-initiative variation of approval power: specific examples

BIPRU 1.2 Definition of the trading book

COBS 13.1 The obligation to prepare product information

PERG 9.2 Introduction

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

GEN 1.2 Referring to approval by the appropriate regulator

APER 4.6 Statement of Principle 6

BIPRU 14.2 Calculation of the capital requirement for CCR

GENPRU 1.2 Adequacy of financial resources

CASS 9.2 Prime broker's daily report to clients