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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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PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

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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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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

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Similar To

LR 15.4 Continuing obligations

DTR 6.3 Dissemination of information

PERG 9.10 Significance of being an open-ended investment company

SUP 10C.1 Application

MAR 1.3 Insider dealing

MCOB 2.7 Application to electronic media and distance communications

COBS 15.5 Special situations

SUP 10A.15 References and accurate information

REC 2.16 Complaints

DTR 2.2 Disclosure of inside information

LR 14.2 Requirements for listing

PERG 8.5 In the course of business

MCOB 4.7A Advised sales

PERG 10.4A The application of requirements which implemented EU directives

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

PERG 8.31 Exclusions for advising on investments

APER 4.4 Statement of Principle 4

LR 3.4 Debt and other securities

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)