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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

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

As Published: 2007

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

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EG 9.9 The effect of the FCA’s decision to withdraw approval

As Published: 2016

EG 9.9 The effect of the FCA’s decision to withdraw approval

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SYSC 4.8

As Published: 2015

SYSC 4.8

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SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

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EG App 3.2 BIS

As Published: 2016

EG App 3.2 BIS

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SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

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Similar To

REC 5.2 Application process

EG 14.2 Choice of powers

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

SUP 5.6 Confidential information and privilege

EG 2.6 Assisting overseas regulators

COLL 11.6 Winding up, merger and division of master UCITS

DEPP 6.6 Financial penalties for late and incomplete submission of reports

CASS 7.19 Clearing member client money sub-pools

SYSC 19D.3 Remuneration principles

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

SUP 10C.14 Changes to an FCA-approved person’s details

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]