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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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CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

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MCOB 11.6 Responsible lending and financing

As Published: 2012

MCOB 11.6 Responsible lending and financing

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COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

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SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

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PERG 13.5 Exemptions from MiFID

SYSC 4.1 General requirements

LR 15.6 Notifications and periodic financial information

IFPRU 1.2 Significant IFPRU firm

COLL 12.2 UK UCITS management companies

DTR 7.1 Audit committees

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

CASS 6.2 Holding of client assets

PERG 16.3 Managing an AIF

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

CASS 7.13 Segregation of client money

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

CASS 6.1 Application

MCOB 11.6 Responsible lending and financing

COLL Appendix 1EU KII Regulation

SUP 15.3 General notification requirements