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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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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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SUP 10C.5 FCA governing functions

As Published: 2015

SUP 10C.5 FCA governing functions

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EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

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COBS 19.7 Retirement risk warnings

As Published: 2015

COBS 19.7 Retirement risk warnings

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DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

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Similar To

FIT 1.2 Introduction

FIT 1.3 Assessing fitness and propriety

GEN 4.1 Application

REC 2.1 Introduction

PERG 8.17 Financial promotions concerning agreements for qualifying credit

PERG 4.2 Introduction

COBS 11.4 Client limit orders

SUP 15.4 Notified persons

FEES 6.1 Application

ICOBS 3.2 E-Commerce

COLL 4.2 Pre-sale notifications

SUP 10A.16 How to apply for approval and give notifications

DTR 8.5 Supervision of primary information providers

INSPRU 8.2 Special provisions for Lloyd's

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

REC 4.5 FCA supervision of action by UK RIEs under their default rules

SUP 10C.5 FCA governing functions

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

COBS 19.7 Retirement risk warnings

DISP 1.10 Complaints reporting rules