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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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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

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LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

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Similar To

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

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

BIPRU 13.4 CCR mark to market method

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

COBS 11.3 Client order handling

SYSC 19E.2 Remuneration policies and practices

PERG 8.31 Exclusions for advising on investments

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

PERG 8.6 Communicate

COND 2.5 Suitability

EG 7.6 Private warnings

GENPRU 3.1 Application

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

SUP 1A.3 The FCA's approach to supervision

LR 3.3 Shares

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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

EG 12.1 The FCA’s general approach

APER 4.4 Statement of Principle 4

LR 3.4 Debt and other securities