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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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SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

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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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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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REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

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Similar To

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

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 19.15 The conduct of investigations under the Money Laundering Regulations

EG 16.2 Disapplication orders

SUP 10C.9 Minimising overlap with the PRA approved persons regime

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

MAR 10.5 Other reporting, notifications and information requirements

SUP 12.7 Notification requirements

COND 2.4 Appropriate resources

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