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SUP 8.5 Notification of altered circumstances relating to waivers

SUP 8.5.1RRP

A firm which has applied for or has been granted a waiver must notify the appropriate regulator1 immediately if it becomes aware of any matter which could affect the continuing relevance or appropriateness of the application or the waiver.

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SUP 8.5.2GRP

Firms are also referred to SUP 15.6 (Inaccurate, false or misleading information). This requires, in SUP 15.6.4 R, a firm to notify the appropriate regulator1 if false, misleading, incomplete or inaccurate information has been provided. This would apply in relation to information provided in an application for a waiver.

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