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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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Similar To

EG 12.1 The FCA’s general approach

SUP 15.6 Inaccurate, false or misleading information

FEES 11.2 Pensions guidance providers’ levy

APER 4.4 Statement of Principle 4

PERG 8.10 Types of financial promotion

SUP 10A.11 Minimising overlap with the PRA approved persons regime

IFPRU 8.2 Large Exposures

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

REC 4.2C Control over a UK RIE

EG 19.15 The conduct of investigations under the Money Laundering Regulations

EG 16.2 Disapplication orders

APER 3.1 Introduction

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

DISP 1.10 Complaints reporting rules

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

EG 2.2 Case selection and referral criteria

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

COND 2.5 Suitability

GENPRU 3.1 Application