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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 8.2 Introduction

As Published: 2003

SUP 8.2 Introduction

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EG 5.5 The settlement discount scheme

As Published: 2015

EG 5.5 The settlement discount scheme

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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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CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

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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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PERG 4.10 Exclusions applying to more than one regulated activity

As Published: 2014

PERG 4.10 Exclusions applying to more than one regulated activity

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PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

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CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

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Similar To

LR 19.4 Continuing obligations

CASS 11.3 Responsibility for CASS operational oversight

REC 4.1 Application and purpose

REC 6.5 FCA decision on recognition

SUP 16.20 Submission of recovery plans and information for resolution plans

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

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

SYSC 7.1 Risk control

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

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

SUP 11.8 Changes in the circumstances of existing controllers

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