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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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MCOB 8.6A Execution-only sales

As Published: 2012

MCOB 8.6A Execution-only sales

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PERG 8.17A Financial promotions concerning insurance distribution activities

As Published: 2018

PERG 8.17A Financial promotions concerning insurance distribution activities

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SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

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MCOB 3A.2 The fair, clear and not misleading rules

As Published: 2015

MCOB 3A.2 The fair, clear and not misleading rules

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Similar To

COBS 11.5 Record keeping: client orders and transactions [deleted]

COBS 9.5 Record keeping and retention periods for suitability records

COBS 12.1 Purpose and application

COLL 11.4 Depositaries

CREDS 2.2 General provisions

FEES 6.7 Payment of levies

COBS 18.1 Trustee Firms

COLL 6.9 Independence, names and UCITS business restrictions

PR 2.1 General contents of prospectus

COLL 8.5 Powers and responsibilities

PR 4.1 Use of languages

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

DEPP 6.2 Deciding whether to take action

GEN 4.2 Purpose

MCOB 9.3 Pre-application disclosure

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

MCOB 8.6A Execution-only sales

PERG 8.17A Financial promotions concerning insurance distribution activities

SUP 10A.6 FCA governing functions

MCOB 3A.2 The fair, clear and not misleading rules