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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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SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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FEES 10.3 Late payments and recovery of unpaid levies

As Published: 2015

FEES 10.3 Late payments and recovery of unpaid levies

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REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

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SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 10C.10 Application for approval and withdrawing an application for approval

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

PERG 8.12 Exemptions applying to all controlled activities

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

SYSC 1.4 Application of SYSC 11 to SYSC 22

PERG 6.7 Examples

CASS 1A.3 Responsibility for CASS operational oversight

SYSC 19E.2 Remuneration policies and practices

DISP 3.5 Resolution of complaints by the Ombudsman

LR 11.1 Related party transactions

GEN 6.1 Payment of financial penalties

COLL 4.2 Pre-sale notifications

DEPP 4.1 Executive decision maker

DISP 3.3 Dismissal without consideration of the merits and test cases

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

SUP 15.11 Notification of COCON breaches and disciplinary action

FEES 10.3 Late payments and recovery of unpaid levies

REC 2.13 Promotion and maintenance of standards