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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 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

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REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

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IFPRU 4.5 Internal ratings based approach: definition of default

As Published: 2014

IFPRU 4.5 Internal ratings based approach: definition of default

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SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

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Similar To

EG 19.15 The conduct of investigations under the Money Laundering Regulations

APER 4.4 Statement of Principle 4

LR 3.4 Debt and other securities

CASS 8.2 Definition of mandate

SUP 10A.11 Minimising overlap with the PRA approved persons regime

MAR 1.6 Market abuse (manipulating transactions)

SUP 17.2 Making transaction reports

SUP 13.3 Establishing a branch in another EEA State

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

REC 4.2C Control over a UK RIE

APER 3.1 Introduction

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