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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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SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

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SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

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FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

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MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

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TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

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COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

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MCOB 11.6 Responsible lending and financing

As Published: 2012

MCOB 11.6 Responsible lending and financing

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PERG 13.3 Investment Services and Activities

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

EG 19.35 Data Reporting Services Regulations 2017

COLL 6.2 Dealing

SUP 15.11 Notification of COCON breaches and disciplinary action

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

COLL 6.9 Independence, names and UCITS business restrictions

PERG 2.6 Specified investments: a broad outline

MAR 10.2 Position limit requirements

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