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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

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SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

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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

As Published: 2004

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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PERG 16.8 Territorial scope

As Published: 2013

PERG 16.8 Territorial scope

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LR 5.4A Transfer between listing categories: Equity shares

As Published: 2009

LR 5.4A Transfer between listing categories: Equity shares

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LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

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Similar To

BIPRU 4.6 The IRB approach: Retail exposures

LR App 2.1

PERG 2.4 Link between activities and the United Kingdom

SYSC 13.4 Requirements to notify the appropriate regulator

PERG 4.1 Application and purpose

COBS 11.8 Recording telephone conversations and electronic communications

PERG 5.1 Application and purpose

DTR 1A.3 FCA may require the publication of information

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

LR 1.3 Information gathering and publication

COND 2.5 Suitability

PERG 9.10 Significance of being an open-ended investment company

CASS 5.2 Holding money as agent of insurance undertaking

MCOB 4.4A Initial disclosure requirements

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration