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EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

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EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

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LR 16.4 Requirements with continuing application

As Published: 2007

LR 16.4 Requirements with continuing application

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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

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PERG 13.5A Child trust funds and MiFID

As Published: 2008

PERG 13.5A Child trust funds and MiFID

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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

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Similar To

EG 5.1 Settlement and the FCA – an overview

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

DISP 1.10B Payment services and electronic money complaints reporting

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

IPRU-INV 5.8 Calculation of own funds and liquid capital

EG 9.6 Applications for variation or revocation of prohibition orders

EG 4.13 Preliminary findings letters and preliminary investigation reports

SUP 10A.10 Customer-dealing functions

DTR 1C.2 Modifying rules and consulting the FCA

CASS 5.6 Client money distribution

GEN 1.3 Emergency

DEPP 6.6 Financial penalties for late and incomplete submission of reports

PERG 9.1 Application and Purpose

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy