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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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PRIN 2.1 The Principles

As Published: 2001

PRIN 2.1 The Principles

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FEES 5.5B Case fees

As Published: 2013

FEES 5.5B Case fees

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SUP 16.10 Verification of standing data

As Published: 2004

SUP 16.10 Verification of standing data

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SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

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SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

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TC App 6.1 Accredited bodies

As Published: 2011

TC App 6.1 Accredited bodies

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MCOB 7.1 Application

As Published: 2004

MCOB 7.1 Application

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MCOB 6.9 Regulated sale and rent back agreements

As Published: 2010

MCOB 6.9 Regulated sale and rent back agreements

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Similar To

SUP 10A.16 How to apply for approval and give notifications

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

SUP 13A.3 Qualifications for authorisation under the Act

PERG 4.10 Exclusions applying to more than one regulated activity

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

PERG 2.3 The business element

SUP 13.3 Establishing a branch in another EEA State

SUP 13.4 Providing cross border services into another EEA State

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

COLL 4.3 Approvals and notifications

IFPRU 6.2 Guidance on market risk

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