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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 3.4 Root cause analysis

As Published: 2010

DISP App 3.4 Root cause analysis

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BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

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SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

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IFPRU 4.3 Guidance on internal ratings based approach: high level material

As Published: 2014

IFPRU 4.3 Guidance on internal ratings based approach: high level material

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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

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Similar To

COBS 7.2 Information to be provided by the insurance intermediary

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

ICOBS 7.2 Effects of cancellation

EG 19.23 Electronic Money Regulations 2011

PERG 4.12 Appointed representatives

COND 2.3 Effective supervision

MCOB 3A.2 The fair, clear and not misleading rules

CASS 11.3 Responsibility for CASS operational oversight

PERG 13.3 Investment Services and Activities

EG 2.4 Case selection: Unauthorised business

CREDS 8.3 Approved persons

EG 4.12 Search and seizure powers

SUP 13A.3 Qualifications for authorisation under the Act

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