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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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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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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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SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

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Similar To

RCB 3.3 Asset pool notifications

SUP 16.17 Remuneration reporting [deleted]

COBS 10.4 Assessing appropriateness: when it need not be done

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

PERG 8.6 Communicate

APER 3.1 Introduction

COND 2.5 Suitability

EG 7.6 Private warnings

GENPRU 3.1 Application

BIPRU 13.4 CCR mark to market method

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

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

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

EG 12.1 The FCA’s general approach

APER 4.4 Statement of Principle 4

SUP 10C.15 Forms and other documents and how to submit them to the FCA