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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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MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

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REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

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MCOB 2.7A E-Commerce

As Published: 2007

MCOB 2.7A E-Commerce

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

As Published: 2015

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

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REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

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MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

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MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

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REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

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Similar To

BIPRU 12.8 Cross-border and intra-group management of liquidity

RCB 3.3 Asset pool notifications

SUP 12.5 Contracts: required terms

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

CASS 10.1 Application, purpose and general provisions

CASS 11.9 Segregation and the operation of client money accounts

MAR 5.3A Systems and controls for algorithmic trading

SUP App 3.3 Background

SYSC 13.6 People

REC 4.1 Application and purpose

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