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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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SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

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EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

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BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2009

BIPRU 12.5 Individual Liquidity Adequacy Standards

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LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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EG 15.1 Introduction

As Published: 2016

EG 15.1 Introduction

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SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

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COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

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Similar To

SYSC 5.2 Certification regime

SYSC 19C.3 Remuneration principles

MCOB 4.11 Sale and rent back: advising and selling standards

DISP App 3.7 Approach to redress

COBS 11.6 Use of dealing commission

MCOB 7.5 Mortgages: statements

IPRU-INV 9.2 GENERAL REQUIREMENTS

MIPRU 3.1 Application and purpose

LR 19.4 Continuing obligations

REC 2.16A Operation of a multilateral trading facility

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