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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 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

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SUP 8.2 Introduction

As Published: 2003

SUP 8.2 Introduction

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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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CASS 7.14 Client money held by a third party

As Published: 2015

CASS 7.14 Client money held by a third party

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Similar To

MCOB 11.6 Responsible lending and financing

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

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

EG 7.5 Payment of financial penalties

PERG 4.10B Regulation of buy to let lending

SUP 4.2 Purpose

GEN 1.1 Application

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

REC 3.4 Key individuals and internal organisation

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

IFPRU 11.7 Notifications

PERG 8.33 Introducing

SUP 10A.7 FCA required functions

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

IFPRU 11.1 Application and purpose

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

EG 19.9 Electronic commerce activity directions: the FCA’s policy

SUP 8.2 Introduction

DEPP 4.1 Executive decision maker

CASS 7.14 Client money held by a third party