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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 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

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PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

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LR 19.5 Disclosures

As Published: 2006

LR 19.5 Disclosures

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COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

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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 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

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DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

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Similar To

PR App 1.1

CASS 6.2 Holding of client assets

PR 3.2 Filing and publication of prospectus

MAR 5.6A Suspension and removal of financial instruments

PR 1.1 Preliminary

COLL 8.4 Investment and borrowing powers

SUP 15.9 Notifications by members of financial conglomerates

REC 2.14 Rules and consultation

LR App 1.1 Relevant definitions

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

SUP 16.18 AIFMD reporting

REC 3.3 Waivers

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