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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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EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

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MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

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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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IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

As Published: 2019

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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TC App 3.1 Circumstances in which TC does not apply

As Published: 2007

TC App 3.1 Circumstances in which TC does not apply

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Similar To

REC 2.1 Introduction

PERG 16.5 How AIFMD affects other regulated activities

REC 6.7 Notification rules for overseas recognised bodies

SYSC 10.2 Chinese walls

SUP 8.6 Publication of waivers

BIPRU 4.10 The IRB approach: Credit risk mitigation

GEN 5.1 Application and purpose

FIT 1.1 Application and purpose

MAR 5.3 Trading process requirements

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

PERG 15.2 General

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

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