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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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CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]

As Published: 2014

CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]

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EG 2.13 Late reporting or non-submission of reports to the FCA

As Published: 2016

EG 2.13 Late reporting or non-submission of reports to the FCA

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FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

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PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

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PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

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IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

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EG 2.7 Sources of cases

REC 3.25 Significant breaches of rules and disorderly trading conditions

EG 15.3 Disqualification under section 345

PERG 8.7 Engage in investment activity

SUP 15A.1 Application and notifications under EMIR

FEES 12.1 Application and Purpose

REC 4.2C Control over a UK RIE

EG 19.15 The conduct of investigations under the Money Laundering Regulations

EG 15.4 Disqualification under section 249 or section 261K

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

DEPP 6.5D Serious financial hardship

LR 1.6 Listing Categories

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