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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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REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

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REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

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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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FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

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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