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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 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

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COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

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COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

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CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

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COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

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Similar To

MAR 6.2 Purpose

LR 9.2 Requirements with continuing application

COBS 6.1 Information about the firm and compensation information

TC 2.1 Assessing and maintaining competence

COLL 6.12 Risk management policy and risk measurement

FEES 13.2 The IML levy

COBS 9.2 Assessing suitability

FEES 7.2 The CFEB levy

SYSC 13.8 External events and other changes

PERG 8.12 Exemptions applying to all controlled activities

REC 6.7 Notification rules for overseas recognised bodies

COBS 11.6 Use of dealing commission

MCOB 11.6 Responsible lending and financing

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