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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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GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

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COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

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COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

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EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

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PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

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PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

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CASS 7.13 Segregation of client money

COBS 11.5 Record keeping: client orders and transactions

SUP 10A.8 Systems and controls functions

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

PRIN 4.1 Principles: MiFID business

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

PERG 5.2 Introduction

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

SYSC 4.3A CRR firms

REC 4.2 The supervisory relationship with UK recognised bodies

COLL 11.6 Winding up, merger and division of master UCITS

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

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