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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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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

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PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

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COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

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REC 3.10 Complaints

As Published: 2013

REC 3.10 Complaints

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COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

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Similar To

LR 9.2 Requirements with continuing application

SYSC 4.5

SUP 10C.9 Minimising overlap with the PRA approved persons regime

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

MCOB 2.4 High pressure sales: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements

ICOBS 4.1 General requirements for insurance intermediaries and insurers

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

REC 3.13 Delegation of relevant functions

PERG 2.5 Investments and activities: general

BIPRU 7.10 Use of a Value at Risk Model

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

CASS 5.2 Holding money as agent of an insurance undertaking

DTR 5.4 Aggregation of managed holdings

CASS 3.1 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

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

PERG 8.7 Engage in investment activity

COCON 2.3 Firms: training and breaches

REC 3.10 Complaints

COBS 6.1E Platform services: platform charges and using a platform service for advising