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

As Published: 2015

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

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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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SUP 11.3 Requirements on controllers or proposed controllers under the Act

EG 10.4 Other relevant powers

SUP 15A.1 Application and notifications under EMIR

INSPRU 3.1 Market risk in insurance

PERG 9.10 Significance of being an open-ended investment company

DTR 6.3 Dissemination of information

CONC 7.18 Notice of sums in arrears under P2P agreements for running-account credit

COBS 11.5 Record keeping: client orders and transactions

PERG 1.2 Introduction

COLL 6.3 Valuation and pricing

ICOBS 5.2 Statement of demands and needs

DTR 6.1 Information requirements for issuers of shares and debt securities

PR 2.5 Omission of information

MAR 5.3 Trading process requirements

PERG 8.6 Communicate

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

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

EG 19.15 The conduct of investigations under the Money Laundering Regulations