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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 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

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GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

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COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges

As Published: 2015

COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges

…

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SUP 10A.5 Significant-influence functions

SYSC 13.9 Outsourcing

EG 19.29 Immigration Act 2014 (Bank Account) Regulations 2014

EG 19.17 Regulated Covered Bonds Regulations 2008

REC 2A.4 Power and procedure for RAP penalties and censures

EG 19.30 The Mortgage Credit Directive Order

REC 2.12 Availability of relevant information and admission of financial instruments to trading

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

COLL 6.2 Dealing

RCB 3.6 Fees and other matters

REC 3.13 Delegation of relevant functions

SYSC 22.3 Drafting the reference and the request for a reference

SYSC 13.8 External events and other changes

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

DEPP 1.1 Application and Purpose

INSPRU 7.1 Application

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 8.32 Arranging deals in investments

GEN 6.1 Payment of financial penalties

COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges