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EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

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IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

As Published: 2014

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

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COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

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Effective Period

Similar To

DEPP 7.2 Interviews

SUP 4.1 Application

SUP 10C.13 Variation of conditional and time-limited approvals

REC 3.26 Proposals to make regulatory provision

PERG 4.11 Link between activities and the United Kingdom

COLL 7.7 UCITS mergers

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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

SUP 8.6 Publication of waivers

REC 4.2D Suspension and removal of financial instruments from trading

REC 2.3 Financial resources

SUP 3.3 Appointment of auditors

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

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

SUP 10C.12 Conditional and time-limited approvals

EG 19.7 The Open-Ended Investment Companies Regulations 2001

COND 2.3 Effective supervision

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

COND 2.4 Appropriate resources