CMCOB Sch 2 Notification and reporting requirements
1It is not a complete statement of those requirements and should not be relied on as if it were.
Handbook reference |
Matter to be notified |
Contents of notification |
Trigger Event |
Time allowed |
Lead generator not an authorised person |
Identity and contact details (if known) of the lead generator, and the firm’s reasons for not being satisfied that the lead generator may carry on seeking out, referrals and identification of claims or potential claims without breaching the general prohibition |
The firm not being satisfied that the lead generator may carry on seeking out, referrals and identification of claims or potential claims without breaching the general prohibition |
Promptly |
|
Changes in prudential resources requirement |
Change in prudential resources requirement |
The firm changing its prudential resources requirement |
Within 14 days of that change |