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You are viewing the version of the document as on 2021-03-04.

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    2021-03-04

CMCOB Sch 2 Notification and reporting requirements

CMCOB Sch 2.1G

1The aim of the guidance in the following table is to give the reader a quick overall view of the relevant notification and reporting requirements in CMCOB.

CMCOB Sch 2.2G

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

CMCOB 2.2.7R

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

CMCOB 7.2.8R

Changes in prudential resources requirement

Change in prudential resources requirement

The firm changing its prudential resources requirement

Within 14 days of that change