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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 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

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SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

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PERG 15.7 Transitional provisions [deleted]

As Published: 2018

PERG 15.7 Transitional provisions [deleted]

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GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

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COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

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BIPRU 5.5 Other funded credit risk mitigation

As Published: 2010

BIPRU 5.5 Other funded credit risk mitigation

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MCOB 4.1 Application

As Published: 2004

MCOB 4.1 Application

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SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

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PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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Effective Period

Similar To

COND 2.3 Effective supervision

PERG 14.2 General issues

COBS 20.5 With-profits governance

COCON 3.1 General factors for assessing compliance

DISP 1.3 Complaints handling rules

SUP 16.10 Verification of firm details

SUP 8A.2 Introduction and conditions

FEES 3.1 Introduction

PRIN 2.1 The Principles

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