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You are viewing the version of the document as on 2023-12-15.

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    2023-12-15

CONRED 4.6 Supervision and delegation of scheme process by firms

CONRED 4.6.1R

1A firm must ensure that the steps required by this chapter are undertaken or supervised by:

  1. (1)

    where DISP 1.3.7R applies, the individual appointed by the firm; or

  2. (2)

    a person of appropriate seniority in all other cases

CONRED 4.6.2G
  1. (1)

    1A 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.