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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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MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

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GENPRU 1.3 Valuation

As Published: 2006

GENPRU 1.3 Valuation

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CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

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LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

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REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

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BIPRU 11.5 Technical criteria on disclosure: General requirements

As Published: 2007

BIPRU 11.5 Technical criteria on disclosure: General requirements

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CONC 7.9 Contact with customers

As Published: 2014

CONC 7.9 Contact with customers

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RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

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Similar To

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

EG 4.5 Notice of termination of investigations

EG 15.4 Disqualification under section 249 or section 261K

PERG 5.2 Introduction

PERG 2.4 Link between activities and the United Kingdom

PR 5.3 Certificate of approval

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

LR 3.3 Shares

CASS 11.3 Responsibility for CASS operational oversight

MAR 9.1 Application, introduction, approach and structure

EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices

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