COB Sch 2 Notification requirements

COB 5.3.26 R

pension opt-out and pension transfer transactions

in writing - number of pension opt-outs and pension transfer transactions the firm has arranged in previous 6 monthly period

6-month intervals

as soon as reasonably practicable 1

COB 5.3.26 R

execution only pension opt-out and pension transfer transactions

in writing - number of transactions arranged if they exceed 1% of all the firm's pension opt-outs or pension transfers arranged during that quarter

3-month intervals

as soon as reasonably practicable 1

COB 5.3.26 R

pension opt-out and pension transfer transactions

in writing - number of transactions arranged against the firm's advice if they exceed 1% of all the firm's pension opt-outs or pension transfers arranged during that quarter

3-month intervals

as soon as reasonably practicable 1

COB 5.3.26 R

pension opt-outs and pension transfer transactions

in writing - the number of any transactions arranged on a correspondence - only basis by the firm during that quarter

3-month intervals

as soon as reasonably practicable 1

COB 5.7.16 E, paragraph 9

failure to follow actuarial advice

reasons for not following actuarial advice and alternative assumptions the firm plans to use

where a firm does not follow its actuary's advice

as soon as reasonably practicable

COB 6.2.22 R (2)

notice of election

in writing - election that scheme will comply with those provisions of COB 6.2 that relate to the simplified prospectus - date from which election is to take effect

election

as soon as reasonably practicable3

COB 6.2.46(4)

simplified prospectus and subsequent amendments

in writing - required contents of simplified prospectus

commencement of sale of units

as soon as reasonably practicable3

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4COB 6.12.94 R (1)

Fact that the firm has ceased to effect new contracts of insurance in a with-profits fund

Fact that the firm has ceased to effect new contracts of insurance in a with-profits fund

Firm first ceasing to effect new contracts of insurance in a with-profits fund

28 days

4COB 6.12.94 R (2)

Details of how the firm will ensure a full and fair distribution of the closed with-profits fund and its inherited estate (if any)

The information described in SUP App 2.15

Firm first ceasing to effect new contracts of insurance in a with-profits fund

A maximum of 3 months

COB 11.6.6 R

delegation of regulated activity by a trustee firm to a PTP

the trustee firm must notify the FSA within 14 days of it first delegating any regulated activity to a PTP and the notification must include the identity of the PTP

upon first delegation of regulated activity

14 days2