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EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

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EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

As Published: 2016

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

…

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EG 4.13 Preliminary findings letters and preliminary investigation reports

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

EG 6.1 Publicity during FCA investigations

DEPP 2.3 Decision notices and second supervisory notices

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

EG 19.7 The Open-Ended Investment Companies Regulations 2001

DEPP 6.7 Discount for early settlement

SUP 16.10 Verification of firm details

EG 2.9 FCA guidance and supporting materials

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

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

DEPP 6A.2 Deciding whether to take action

LR 5.4 Restoring listing

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

DEPP 6.6 Financial penalties for late and incomplete submission of reports

PERG 9.3 The definition

EG 19.15 The conduct of investigations under the Money Laundering Regulations

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative