COCON 1.1 1Application

COCON applies to:

1. (a)

   an SMF manager;

2. (b)

   an employee (“P”) of a relevant authorised person who:

   1. (i)

      performs the function of an SMF manager;

   2. (ii)

      is not an approved person to perform the function in question; and

   3. (iii)

      is required to be an approved person at the time P performs that function; and

3. (c)

   an employee of a relevant authorised person who would be an SMF manager but for SUP 10C.3.13R (The 12-week rule);

4. (d)

   a certification employee employed by a relevant authorised person, even if the certification employee has not been notified that COCON applies to them or notified of the rules that apply to them;

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5. (e)

   an employee of a relevant authorised person who would be a certification employee but for SYSC 5.2.27R(1) (Scope: emergency appointments) or SYSC 5.2.28AR (Scope: temporary UK role)6;

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6. (f)

   any other employee of a relevant authorised person, except: 12

   2
   1. (i)

      a non-executive director other than a senior conduct rules staff member; and12

   2. (ii)

      an employee whose role is listed under COCON 1.1.2R(2); and2

      1
7. (g)

   an FCA-approved person or PRA-approved person approved to perform a controlled function in a Solvency II firm (including a large non-directive insurer) or a small non-directive insurer4.2

For Swiss general insurers, references in this sourcebook to parts of the PRA Rulebook for ‘Solvency II firms’ are to be read as references to the corresponding parts of the PRA Rulebook applying to large non directive insurers.7COCON does not apply to an employee of a relevant authorised person who only performs functions falling within the scope of the following roles:1

1. (a)

   receptionists;1

2. (b)

   switchboard operators;1

3. (c)

   post room staff;1

4. (d)

   reprographics/print room staff;1

5. (e)

   property/facilities management;1

6. (f)

   events management;1

7. (g)

   security guards;1

8. (h)

   invoice processing;1

9. (i)

   audio visual technicians;1

10. (j)

    vending machine staff;1

11. (k)

    medical staff;1

12. (l)

    archive records management;1

13. (m)

    drivers;1

14. (n)

    corporate social responsibility staff;1

15. (o)

    data controllers or processors under the Data Protection Act 1998;1

16. (p)

    cleaners;1

17. (q)

    catering staff;1

18. (r)

    personal assistant or secretary;1

19. (s)

    information technology support (ie, helpdesk); and1

20. (t)

    human resources administrators /processors.1

COCON does not apply to approved persons approved to perform a controlled function in SUP 10A.1.15R to SUP 10A.1.16BR (appointed representatives).2