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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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EG 11.3 The FCA’s choice of powers

As Published: 2016

EG 11.3 The FCA’s choice of powers

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DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

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DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

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REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

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FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

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SUP 6.5 Ending authorisation

EG 11.5 Other relevant powers

PERG 5.1 Application and purpose

FEES 10.1 Application, purpose and background

CASS 6.6 Records, accounts and reconciliations

PERG 9.6 The investment condition (section 236(3) of the Act): general

PR 2.4 Incorporation by reference

CONC 5A.1 Application, purpose and guidance

SUP 1A.3 The FCA's approach to supervision

SUP 15.6 Inaccurate, false or misleading information

LR 3.4 Debt and other securities

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

CASS 7.15 Records, accounts and reconciliations

LR 9.8 Annual financial report

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

EG 11.3 The FCA’s choice of powers

DISP App 3.1 Introduction

DEPP 6.4 Financial penalty or public censure

REC 3.1 Application and purpose

FEES 5.8 Joining the Financial Ombudsman Service