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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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PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

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SUP 16.20 Submission of recovery plans and information for resolution plans

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans

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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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EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

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DTR 1A.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1A.2 Modifying rules and consulting the FCA

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EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

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Similar To

SYSC 7.1 Risk control

REC 4.1 Application and purpose

SUP 8.2 Introduction

SUP 16.6 Compliance reports

COBS 6.1C Consultancy charging and remuneration

CASS 1.4 Application: particular activities

LR 19.4 Continuing obligations

SUP 17.2 Making transaction reports

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

SUP 11.8 Changes in the circumstances of existing controllers

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

EG 5.5 The settlement discount scheme

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