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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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REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

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SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

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SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

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Similar To

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

SYSC 19C.1 General application and purpose

PERG 11.2 Guidance on property investment clubs

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

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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