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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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SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

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MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

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PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

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BIPRU 1.3 Applications for advanced approaches and waivers

As Published: 2006

BIPRU 1.3 Applications for advanced approaches and waivers

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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