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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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COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

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SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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CONC 6.8 Post contract business practices: credit brokers

As Published: 2014

CONC 6.8 Post contract business practices: credit brokers

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PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

As Published: 2005

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

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EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

As Published: 2016

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

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PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

As Published: 2005

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

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SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

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Similar To

LR 15.2 Requirements for listing

PERG 16.3 Managing an AIF

BIPRU 13.6 CCR internal model method

CONC 6.5 Assignment of rights

EG 3.2 Information requests (section 165)

EG 3.2A Information requests (section 122A)

EG 3.2B Information requests (section 122B)

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

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

EG 16.4 The effect of a disapplication order

IFPRU 6.1 Market risk requirements

PERG 15.3 Payment Services

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