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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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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

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BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

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REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

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COBS 9.5 Record keeping and retention periods for suitability records

COBS 14.2 Providing product information to clients

COBS 9.4 Suitability reports

FEES 2.2 Late Payments and Recovery of Unpaid Fees

MIPRU 4.2 Capital resources requirements

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

CONC 3.1 Application

SYSC 22.2 Getting, giving and updating references: the main rules

MCOB 3B.1 Provision of general information

PERG 8.28 Advice or information

CASS 10.2 Core content requirements

COLL 7.2 Suspension and restart of dealings

CASS 5.8 Safe keeping of client's documents and other assets

SUP 3.6 Firms' cooperation with their auditors

RCB 6.1 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