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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 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

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DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

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DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

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Similar To

PERG 8.37 AIFMD Marketing

PR 2.1 General contents of prospectus

LR App 1.1 Relevant definitions

PERG 2.7 Activities: a broad outline

CASS 7.13 Segregation of client money

PERG 8.28 Advice or information

PERG 9.10 Significance of being an open-ended investment company

LR 15.4 Continuing obligations

COLL 6.10 Senior personnel responsibilities

CASS 7.11 Treatment of client money

CONC 2.7 Distance marketing

ICOBS 3.2 E-Commerce

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

LR 18.2 Requirements for listing

COBS 9.2 Assessing suitability

PERG 8.12 Exemptions applying to all controlled activities

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

SYSC 3.2 Areas covered by systems and controls

DISP 2.7 Is the complainant eligible?

DISP 1.11 The Society of Lloyd's