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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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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

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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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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

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

SYSC 19B.1 Application

PERG 8.12 Exemptions applying to all controlled activities

DISP 3.5 Resolution of complaints by the Ombudsman

SYSC 1.4 Application of SYSC 11 to SYSC 22

CASS 1A.3 Responsibility for CASS operational oversight

PERG 6.7 Examples

SYSC 19E.2 Remuneration policies and practices

DISP 3.3 Dismissal without consideration of the merits and test cases

LR 11.1 Related party transactions

FEES 10.3 Late payments and recovery of unpaid levies

COLL 4.2 Pre-sale notifications

GEN 6.1 Payment of financial penalties

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

DEPP 4.1 Executive decision maker

FEES 13.1 Application and purpose

SUP 15.11 Notification of COCON breaches and disciplinary action