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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 19.15 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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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

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COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

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SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

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SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

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Similar To

SUP 4.3 Appointment of actuaries

PR 4.2 Third country issuers

SUP 15.13 Notification by CBTL firms

REC 6.7 Notification rules for overseas recognised bodies

EG 19.3 Credit Unions Act 1979

CASS 5.5 Segregation and the operation of client money accounts

EG 2.6 Assisting overseas regulators

PRIN 1.1 Application and purpose

SUP 3.4 Auditors' qualifications

LR 5.5 Miscellaneous

SYSC 4.2 Persons who effectively direct the business

PR 5.3 Certificate of approval

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