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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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PERG 5.4 The business test

As Published: 2005

PERG 5.4 The business test

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SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

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COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

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IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

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SUP 13.6 Changes to branches

IFPRU 11.7 Notifications

COLL 7.7 UCITS mergers

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

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COLL 4.2 Pre-sale notifications

SYSC 19D.1 Application and purpose

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

BIPRU 7.8 Securities underwriting

IFPRU 4.7 Internal ratings based approach: loss given default

PERG 5.3 Contracts of insurance

SYSC 19A.1 General application and purpose

PERG 4.11 Link between activities and the United Kingdom

IFPRU 3.2 Capital

CASS 6.2 Holding of client assets

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

PERG 5.4 The business test

SUP 13.1 Application and purpose

COLL 6.13 Record keeping

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS