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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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MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

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COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

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SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

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COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

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MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

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COCON 1.2 Investments

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

COLL 12.4 UCITS product passport

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

EG 19.35 Data Reporting Services Regulations 2017

COLL 6.2 Dealing

SYSC 4 Annex 1

PERG 2.6 Specified investments: a broad outline

SUP 14.2 Changes to branch details

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