Related provisions for SUP 12.4.5G

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PERG 5.15.2GRP
Flow chart: regulated activities related to insurance mediation activities – do you need authorisation?
PERG 5.15.8GRP
Flow chart: am I carrying on regulated activities in the United Kingdom?
PERG 5.1.6GRP
The purpose of this guidance is to help persons consider whether they need authorisation or a variation of their Part IV permission. Businesses new to regulation who act only as introducers of insurance business are directed in particular to PERG 5.6.2 G(article 25(1): arranging (bringing about) deals in investments) to PERG 5.6.9 G (Exclusion: Article 72C (Provision of information on an incidental basis)) and PERG 5.15.6 G (Flow chart: Introducers) to help consider whether they
MCOB 1.2.1RRP
1(1) MCOB applies to every firm that:11(a) carries on regulated mortgage activities (subject to MCOB 1.2.3 R (1)1); or(b) communicates or approves a qualifying credit promotion.(2) Where a firm has outsourced activities to a third party processor, any rule in MCOB which requires the third party processor, when acting as such, to disclose its identity to a customer must be read as requiring disclosure of the identity of the firm (or appointed representative, as appropriate) which
DISP 2.6.1RRP
The Ombudsman can consider a complaint under the Compulsory Jurisdiction only if it relates to an act or omission by a firm in the carrying on of one or more of the following activities (unless the provision described in DISP 2.6.3 R applies):(1) regulated activities;(2) lending money secured by a charge on land;(3) lending money (other than restricted credit);(4) paying money by a plastic card (other than a store card);(5) the provision of ancillary banking services (see DISP
MCOB 1.3.1RRP
Except as set out in this section, MCOB applies if the customer of a firm carrying on regulated mortgage activities is resident in:(1) the United Kingdom; or(2) another EEA State, but in this case only if the activity is carried on from an establishment maintained by the firm (or its appointed representative) in the United Kingdom;at the time that the regulated mortgage activity is carried on.
SYSC 6.1.1RRP
1A common platform firm must establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm including its managers, employees and appointed representatives with its obligations under the regulatory system.[Note: article 13(2) of MiFID]
FEES 6.5.4RRP
If the relevant person in default is an appointed representative, the FSCS must allocateany compensation costs or specific costs arising out of a regulated activity for which his principal has not accepted responsibility to the relevant contribution group for that activity
SUP 13.3.2BGRP
4An appointed representative appointed by a firm to carry on insurance mediation activity on its behalf may establish a branch in another EEA State under the Insurance Mediation Directive. In this case, the notice of intention in SUP 13.3.2 G (1) should be given to the FSA by the firm on behalf of the appointed representative.5
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to SYSC 18 does not give rise to a right of action by a private person under section 150 of the Act (and each of those rules is specified under section 150(2) of the Act as a provision giving rise to no such right of action).
SUP 2.4.1GRP
Representatives or appointees of the FSA (which may include individuals engaged by a market research firm) may approach a firm, its agents or its appointed representatives in the role of potential retail consumers with any authorisation under the Regulation of Investigatory Powers Act 2000 that is considered appropriate. This is known as 'mystery shopping'.
COND 2.5.6GRP
In determining whether a firm will satisfy, and continue to satisfy, threshold condition 5 in respect of conducting its business with integrity and in compliance with proper standards, the relevant matters, as referred to in COND 2.5.4 G (2), may include but are not limited to whether:(1) the firm has been open and co-operative in all its dealings with the FSA and any other regulatory body (see Principle 11 (Relations with regulators)) and is ready, willing and organised to comply
SUP 3.6.6GRP
In complying with SUP 3.6.1 R, a firm should take reasonable steps to ensure that each of its appointed representatives gives the firm's auditor the same rights of access to the books, accounts and vouchers of the appointed representative and entitlement to information and explanations from the appointed representative's officers as are given in respect of the firm by section 341 of the Act (see also SUP 12.5.5 R (3)).
SYSC 3.1.4GRP
A firm has specific responsibilities regarding its appointed representatives (see SUP 12).
SUP 13.4.2AGRP
4An appointed representative appointed by a firm to carry on insurance mediation activity on its behalf may provide cross border services in another EEA State under the Insurance Mediation Directive. In this case, the notice of intention in SUP 13.4.2 G (1) should be given to the FSA by the firm on behalf of the appointed representative5.
PERG 2.2.1GRP
Under section 23 of the Act (Contravention of the general prohibition), a person commits a criminal offence if he carries on activities in breach of the general prohibition in section 19 of the Act (The general prohibition) (see AUTH 1.2.2 G).. Although a person who commits the criminal offence is subject to a maximum of two years imprisonment and an unlimited fine, it is a defence for a person to show that he took all reasonable precautions and exercised all due diligence to
SUP 15.3.11RRP
(1) A firm must notify the FSA of:(a) a significant breach of a rule (which includes a Principle, or a Statement of Principle ; or(b) a breach of any requirement imposed by the Act or by regulations or an order made under the Act by the Treasury (except if the breach is an offence, in which case (c) applies); or(c) the bringing of a prosecution for, or a conviction of, any offence under the Act;by (or as regards (c) against) the firm or any of its directors, officers, employees,