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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

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EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

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EG 19.9 Electronic commerce activity directions: the FCA’s policy

EG 6.2 Publicity during, or upon the conclusion of regulatory action

DEPP 2.5 Provision for certain categories of decision

DEPP 7.2 Interviews

EG 19.10 Enterprise Act 2002

DEPP 3.2 The operation of the RDC

EG App 2.1 Purpose, status and application of the guidelines

EG 2.2 Case selection: Firms and individuals, market abuse cases and listing matters

DEPP 6.2 Deciding whether to take action

DEPP 5.1 Settlement decision makers

EG 8.3 Use of the own-initiative powers in urgent cases

EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

EG 19.30 The Mortgage Credit Directive Order 2015

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

DTR 8.4 Continuing obligations

EG 19.29 Immigration Act 2014 (Bank Account) Regulations 2014

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

EG 19.27 Alternative Investment Fund Managers Regulations 2013

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action