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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 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

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DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

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COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

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GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

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SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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Similar To

SUP 13.4 Providing cross border services into another EEA State

MAR 10.4 Position reporting

REC 4.2C Control over a UK RIE

EG 16.2 Disapplication orders

APER 3.1 Introduction

SUP 15.13 Notification by CBTL firms

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

DEPP 6.5D Serious financial hardship

DISP 1.10 Complaints reporting rules

MAR 10.5 Other reporting, notifications and information requirements

SUP 12.7 Notification requirements

COND 2.4 Appropriate resources

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

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