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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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PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

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LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

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EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

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DISP 1.4 Complaints resolution rules

As Published: 2003

DISP 1.4 Complaints resolution rules

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PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

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LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

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Similar To

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

COBS 4.10 Systems and controls and approving and communicating financial promotions

LR 15.5 Transactions

RCB 6.1 Application and purpose

REC 4.2G Reports by skilled persons

IFPRU 4.1 Application and purpose

IFPRU 5.1 Application and purpose

IPRU-INV 9.6 NON-FINANCIAL RESOURCE REQUIREMENTS

COBS 11.5 Record keeping: client orders and transactions

PERG 4.6 Advising on regulated mortgage contracts

LR 1.6 Listing Categories

FEES 9.2 PSR fees

REC 4.7 The section 297 power to revoke recognition

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