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You are viewing the version of the document as on 2022-01-28.

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    2022-01-28

CONRED 2.7 Supervision and delegation of scheme process by firms

CONRED 2.7.1R

A firm must ensure that the steps required by this chapter are undertaken or supervised by the individual appointed by the firm under DISP 1.3.7 R where that rule applies. In any other case, those steps must be taken or supervised by a person of appropriate experience and seniority.

CONRED 2.7.2G
  1. (1)

    Any firm intending to outsource any of the obligations imposed on it under this chapter should have due regard to the rules and guidance on outsourcing which are applicable to it, notably in SYSC.

  2. (2)

    A firm which outsources any of the obligations imposed on it under this chapter in respect of communications with consumers should ensure that those communications are clear as to the identity of the firm.