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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 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 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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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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Similar To

DISP 1.10 Complaints reporting rules

FEES 11.2 Pensions guidance providers’ levy

LR 5.4A Transfer between listing categories

DISP 1.11 The Society of Lloyd's

IFPRU 8.2 Large Exposures

IFPRU 11.2 Individual recovery plans

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

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

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

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

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

MAR 10.5 Other reporting, notifications and information requirements

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

SUP 9.2 Making a request for individual guidance

LR 2.2 Requirements for all securities

REC 4.5 FCA supervision of action by UK RIEs under their default rules

EG 2.2 Case selection and referral criteria