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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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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

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LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

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CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

…

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DISP 1.9 Complaints record rule

PR 2.3 Minimum information to be included in a prospectus

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

REC 3.15 Suspension of services and inability to operate facilities

MIPRU 3.2 Professional indemnity insurance requirements

COBS 4.7 Direct offer financial promotions

COBS 11.3 Client order handling

SUP 16.15 Reporting under the Electronic Money Regulations

COLL 8.2 Constitution

PERG 8.31 Exclusions for advising on investments

DISP App 1.6 Valuing Relevant Benefits

COLL 6.8 Income: accounting, allocation and distribution

BIPRU 11.2 Basis of disclosures

PERG 5.4 The business test

SUP App 2.15 Run-off plans for closed with-profits funds

SUP 11.2 Purpose

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

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

LR 17.3 Requirements with continuing application

CASS 5.8 Safe keeping of client's documents and other assets