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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 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

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REC 4.2G Reports by skilled persons

As Published: 2013

REC 4.2G Reports by skilled persons

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IFPRU 4.5 Internal ratings based approach: definition of default

As Published: 2014

IFPRU 4.5 Internal ratings based approach: definition of default

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SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

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

As Published: 2012

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

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EG 3.5 Official listing investigations (section 97)

As Published: 2016

EG 3.5 Official listing investigations (section 97)

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Similar To

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

PRIN 4.1 Principles: MiFID business

FEES 6.5 Compensation costs

FEES 6.3 The FSCS's power to impose levies

REC 2.9 Transaction recording

REC 2A.3 Guidance on RAP recognition requirements

LR 6.2 Historical financial information requirements

COLL 7.2 Suspension and restart of dealings

LR 5.4A Transfer between listing categories

REC 3.4 Members of the management body and internal organisation

SUP 17A.2 Connectivity with FCA systems

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

COCON 2.3 Firms: training and breaches

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