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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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APER 2.1A The Statements of Principle

As Published: 2015

APER 2.1A The Statements of Principle

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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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PERG 7.2 Introduction

As Published: 2006

PERG 7.2 Introduction

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PERG 10.1 Background

As Published: 2006

PERG 10.1 Background

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PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

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PERG 8.26 The investment must be a particular investment

As Published: 2005

PERG 8.26 The investment must be a particular investment

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Similar To

EG 2.13 Late reporting or non-submission of reports to the FCA

REC 4.2 The supervisory relationship with UK recognised bodies

CASS 1.3 General application: where?

EG 16.4 The effect of a disapplication order

BIPRU 12.1 Application

PERG 1.3 Status of guidance

SUP 8.9 Decision making

GEN 1.2 Referring to approval by the FCA

CASS 9.5 Reporting to clients on request

APER 4.6 Statement of Principle 6

COBS 8.1 Client agreements: non-MiFID designated investment business

CONC 7.2 Clear, effective and appropriate policies and procedures in respect of customers in or approaching arrears or in default

PERG 5.11 Other aspects of exclusions

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