Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2024-09-18.

notification rule

  1. 2(1) (in relation to a firm) a rule requiring a firm to give the FCA65 107107 notice of, or information regarding, an event, but excluding:
    1. (a) a rule requiring periodic submission of a report; and
    2. (b) a rule in the listing rules.
  2. (2) (in relation to a recognised body) a rule made by the106 FCA 106 under section 293 of the Act (Notification requirements) or section 295 of the Act (Notification: overseas investment exchanges and overseas clearing houses)25:25
    1. (a)25requiring a recognised body to give the106 FCA:106 25
      1. (i) notice of, and specified information regarding, specified events relating to the body;25
      2. (ii) specified information relating to the body at specified times or in respect of specified periods; and25
      3. (iii) any other information required to be given by such a rule; or25
    2. (b)25(in relation to an RIE106):4343
      1. 43(i) specifying descriptions of regulatory provision in relation to which, or circumstances in which, the duty to notify the106 FCA 106 of such regulatory provision in section 300B(1) of the Act does not apply or providing that the duty to notify applies only to specified descriptions of regulatory provision or in specified circumstances; or
      2. (ii) making provision as to the form and contents of the notice required under (2)(b)(i), and requiring recognised bodies to provide specified information in connection with that notification.43
    3. 2543