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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 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

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SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

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SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

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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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COCON 1.2 Investments

REC 6.3 Recognition requirements

PERG 13.3 Investment Services and Activities

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

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EG 19.35 Data Reporting Services Regulations 2017

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 6.2 Dealing

PERG 2.6 Specified investments: a broad outline

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

SUP 15.11 Notification of COCON breaches and disciplinary action

MAR 10.2 Position limit requirements

SUP 14.2 Changes to branch details

COLL 6.9 Independence, names and UCITS business restrictions

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

MAR 6.2 Purpose

SYSC 4 Annex 1

SYSC 2.1 Apportionment of Responsibilities

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