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

As Published: 2016

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

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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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SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

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COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

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SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

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BIPRU 13.2 Unusual Transactions

As Published: 2007

BIPRU 13.2 Unusual Transactions

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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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LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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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