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

As Published: 2005

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

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BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

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SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

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Similar To

SYSC 19C.1 General application and purpose

LR 2.2 Requirements for all securities

COBS 16.3 Periodic reporting

DISP 3.5 Resolution of complaints by the Ombudsman

CASS 6.2 Holding of client assets

REC 2.5 Systems and controls and conflicts

LR 13.2 Approval of circulars

LR 9.5 Transactions

BIPRU 13.6 CCR internal model method

DEPP 6.2 Deciding whether to take action

SYSC 5.2 Certification regime

SUP 15.3 General notification requirements

CASS 7.13 Segregation of client money

CASS 5.5 Segregation and the operation of client money accounts

TC App 4.1 Appropriate Qualification tables

SYSC 19C.3 Remuneration principles

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

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

BIPRU 7.10 Use of a Value at Risk Model

SYSC 19A.3 Remuneration principles for IFPRU investment firms