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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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BIPRU 13.2 Unusual Transactions

As Published: 2007

BIPRU 13.2 Unusual Transactions

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

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SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

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SYSC 19A.2 General requirement

As Published: 2011

SYSC 19A.2 General requirement

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BIPRU 9.10 Reduction in risk-weighted exposure amounts

PERG 16.2 What types of funds and businesses are caught?

SUP 13.4 Providing cross border services into another EEA State

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

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RCB 1.1 Introduction to sourcebook

SUP 10C.11 Statements of responsibilities

SUP 15.13 Notification by CBTL firms

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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BIPRU 9.8 Use of ECAI credit assessments for the determination of applicable risk weights

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

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