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  3. Point in time
    2013-09-02

COBS Sch 2 Notification requirements

COBS Sch 2.1G

1Handbook reference

Matters to be notified

Contents of notification

Trigger event

Time allowed

COBS 20.2.45 R

Appointment of policyholder advocate.

The terms on which the firm proposes to appoint a policyholder advocate.

Proposal to appoint policyholder advocate.

As soon as reasonably practicable

COBS 21.2.8 R

Breach of COBS 21.3.5 R

Any failure to meet the requirements of COBS 21.3.5 R

Breach of COBS 21.3.5 R

As soon as the firm becomes aware of the failure2

2COBS 20.5.5R (3)

The decision of a firm's governing body to depart from the advice or recommendation of the with-profits committee or advisory arrangement.

A description of:

(1) the decision of, and reasons given by, the firm's governing body;

(2) the recommendation and advice of the with-profits committee or advisory arrangement;

together with a copy of the firm's records of the decision, reasons, advice and recommendations.

The with-profits committee or advisory arrangement considers that the issue is sufficiently significant and requests of the governing body that the FSA be informed.

As soon as reasonably practicable