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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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REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

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MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

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SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

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REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

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MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

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LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

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REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

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CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

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Similar To

SUP 12.5 Contracts: required terms

CASS 10.1 Application, purpose and general provisions

MAR 5.3A Systems and controls for algorithmic trading

DTR 4.1 Annual financial report

CASS 11.9 Segregation and the operation of client money accounts

SYSC 13.6 People

SUP App 3.3 Background

MCOB 2.7A E-Commerce

MCOB 2.8 Record keeping

REC 4.1 Application and purpose

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