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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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COBS 20.5 With-profits governance

As Published: 2012

COBS 20.5 With-profits governance

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PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

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LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

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CASS 11.5 Organisational requirements

As Published: 2014

CASS 11.5 Organisational requirements

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SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

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EG 12.2 FCA cautions

As Published: 2015

EG 12.2 FCA cautions

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LR 6.3 Revenue earning track record requirement

As Published: 2017

LR 6.3 Revenue earning track record requirement

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PERG 7.1 Application and purpose

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

PERG 4.2 Introduction

SUP 13.12 Sources of further information

SUP 13.2 Introduction

SUP 11.9 Changes in close links

MAR 1.1 Application and interpretation

DISP App 1.4 Policy reconstruction

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

MAR 1.3 Insider dealing

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

PERG 5.3 Contracts of insurance

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