Related provisions for SUP App 3.3.8

61 - 78 of 78 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

COLL 9.4.2RRP
(1) The operator of a recognised scheme must maintain facilities in the United Kingdom for any person, for inspection (free of charge) and for the obtaining (free of charge, in the case of the documents at (c) and (d), and otherwise at no more than a reasonable charge) of copies in English of: (a) the instrument constituting the scheme;(b) any instrument amending the instrument constituting the scheme; (c) the latest prospectus (which must include the address where the facilities
TC 2.1.1RRP
(1) This chapter applies, subject to (2), to every firm to the extent indicated in TC 2.1.4 G, except that:(a) for an incoming EEA firm or an incoming Treaty firm, this chapter applies only in so far as responsibility for any matter it covers is not reserved by a European Community instrument to the firm's Home State regulator; and(b) this chapter applies to a UCITS qualifier only in so far as it is relevant to the manner in which a firm communicates or approves a financial promotion.(2)
REC 2.5.1UKRP

Schedule to the Recognition Requirements Regulations, paragraph 3

(1)

The [UK RIE] must ensure that the systems and controls used in the performance of its [relevant functions] are adequate, and appropriate for the scale and nature of its business.

(2)

Sub-paragraph (1) applies in particular to systems and controls concerning -

(a)

the transmission of information;

(b)

the assessment and management of risks to the performance of the [UK RIE'srelevant functions];

(c)

the effecting and monitoring of transactions on the [UK RIE];

(d)

the operation of the arrangements mentioned in paragraph 4(2)(d); and

(e)

(where relevant) the safeguarding and administration of assets belonging to users of the [UK RIE's] facilities.1
MCOB 6.5.6RRP
If a firm makes an offer to a retail customer with a view to entering into a regulated mortgage contract a which is a distance contract, it must provide the retail customer with the following information with the offer document:(1) the EEA State or States whose laws are taken by the firm as a basis for the establishment of relations with the customer prior to the conclusion of the regulated mortgage contract;(2) any contractual clause on law applicable to the regulated mortgage
SUP 11.5.4GRP
Firms are reminded that a change in control may give rise to a change in the groupcompanies to which the FSA's consolidated financial supervision requirements apply. Also, the firm may for the first time become subject to the FSA's requirements on consolidated financial supervision (or equivalent requirements imposed by another EEA State). This may apply, for example, if the controller is itself an authorised undertaking. The FSA may therefore request such a firm, controller or
GEN 4.3.4RRP
GEN 4.3.1 R (Disclosure in letters to private customers) does not apply in relation to:(1) general insurance business if:(a) the State of the risk is an EEA State other than the United Kingdom; or(b) the State of the risk is outside the EEA and the client is not in the United Kingdom when the contract of insurance is entered into; or(2) long-term insurance business if:(a) the client is habitually resident in an EEA State other than the United Kingdom; or(b) the client is habitually
REC 1.2.1GRP
The purpose of the guidance in this sourcebook is to give information onhow the FSA interprets the recognition requirements, andother obligations on recognised bodies in or under the Act. Explanations of the purposes of the rules in this sourcebook are given in the chapters concerned.
SUP 6.3.3GRP
In applying for a variation of Part IV permission, a branch of a firm from outside the EEA should be mindful of any continuing requirements referred to in AUTH 3.18 and, for insurers, AUTH 3.12.