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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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CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

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DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

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

As Published: 2007

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

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PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

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PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

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COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

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Similar To

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

SUP 3.1 Application

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

COBS 6.1A Adviser charging and remuneration

DISP 3.7 Awards by the Ombudsman

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PERG 8.12 Exemptions applying to all controlled activities

BIPRU 7.10 Use of a Value at Risk Model

SUP 12.1 Application and purpose

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

DISP 3.5 Resolution of complaints by the Ombudsman

SUP 12.2 Introduction

SUP 12.7 Notification 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