Related provisions for LR 11.1.5A

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SUP 3.5.3RRP
If a firm becomes aware at any time that its auditor is not independent of the firm, it must take reasonable steps to ensure that it has an auditor independent of the firm. The firm must notify the FSA if independence is not achieved within a reasonable time.
MAR 6.1.2RRP
The systematic internaliser reporting requirement in MAR 6.4.1 R applies to an investment firm which is authorised by the FSA .
APER 3.2.1ERP
In determining whether or not the particular conduct of an approved person within his controlled function complies with the Statements of Principle, the following are factors which, in the opinion of the FSA, are to be taken into account:(1) whether that conduct relates to activities that are subject to other provisions of the Handbook;(2) whether that conduct is consistent with the requirements and standards of the regulatory system relevant to his firm.
MCOB 12.2.1GRP
(1) Principle 6 requires a firm to pay due regard to the interests of its customers and treat them fairly. A firm is also under an obligation, as a consequence of this sourcebook's disclosure requirements,1 to make charges transparent to customers. This chapter reinforces these requirements by preventing a firm from imposing unfair and excessive charges.1(2) The level of charges under a regulated mortgage contract,2home reversion plan1 or regulated sale and rent back agreement2
DTR 1A.3.1RRP
(1) The FSA may, at any time, require an issuer to publish such information in such form and within such time limits as it considers appropriate to protect investors or to ensure the smooth operation of the market.(2) If an issuer fails to comply with a requirement under paragraph (1) the FSA may itself publish the information (after giving the issuer an opportunity to make representations as to why it should not be published).
TC 1.1.3GRP
The competent employees rule is the main Handbook requirement relating to the competence of employees. The purpose of this sourcebook is to support the FSA's supervisory function by supplementing the competent employees rule for retail activities.
SYSC 1.2.1GRP
The purposes of SYSC are:(1) to encourage firms' directors and senior managers to take appropriate practical responsibility for their firms' arrangements on matters likely to be of interest to the FSA because they impinge on the FSA's functions under the Act;(2) to increase certainty by amplifying Principle 3, under which a firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems;1(3) to encourage firms
MAR 6.2.1GRP
The purpose of this chapter is to implement Article 27 of MiFID, which deals with the requirements on systematic internalisersfor pre-trade transparency in shares, the execution of orders on behalf of clients and standards and conditions for trading. It also provides a rule requiring investment firms to notify the FSA when they become, or cease to be, a systematic internaliser, and which gives effect to Article 21(4) of the MiFID Regulation. The chapter
PERG 8.34.2GRP
In the FSA's view, for a person to be carrying on the business of advising on investments or making arrangements with a view to transactions in investments, he will usually need to be carrying on those activities with a degree of regularity. The person will also usually need to be carrying on the activities for commercial purposes. That is to say, he will normally be expecting to gain a direct or indirect financial benefit of some kind. Activities carried on out of friendship
REC 6A.1.1GRP
1Under section 312A of the Act, an EEA market operator may make arrangements in the United Kingdom to facilitate access to, or use of, a regulated market or multilateral trading facility operated by it if:(1) the operator has given its Home State regulator notice of its intention to make such arrangements; and(2) the Home State regulator has given the FSA notice of the operator's intention.
PERG 1.3.1GRP
This guidance is issued under section 157 of the Act (Guidance). It represents the FSA's views and does not bind the courts. For example, it would not bind the courts in an action for damages brought by a private person for breach of a rule (see section 150 of the Act (Actions for damages)), or in relation to the enforceability of a contract where there has been a breach of sections 19 (The general prohibition) or 21 (Restrictions on financial promotion) of the Act (see sections
APER 3.3.1ERP
In determining whether or not the conduct of an approved person performing a significant influence function complies with Statements of Principle 5 to 7, the following are factors which, in the opinion of the FSA, are to be taken into account:(1) whether he exercised reasonable care when considering the information available to him;(2) whether he reached a reasonable conclusion which he acted on;(3) the nature, scale and complexity of the firm's business;(4) his role and responsibility
PERG 6.2.1GRP
The purpose of this guidance is to set out:(1) at PERG 6.5 the general principles; and(2) at PERG 6.6 the range of specific factors;that the FSA regards as relevant in deciding whether any arrangement is a contract of insurance.
ICOBS 2.4.1GRP
(1) The Senior Management Arrangements, Systems and Controls sourcebook contains high-level record-keeping requirements (see SYSC 3.2.20 R and SYSC 9.1.1 R ).11(2) This sourcebook does not generally have detailed record-keeping requirements: firms will need to decide what records they need to keep in line with the high-level record-keeping requirements and their own business needs. (3) Firms should bear in mind the need to deal with requests for information from the FSA as well
REC 3.25.1RRP
1A UK RIE must immediately notify the FSA of:(1) significant breaches of its rules; or(2) disorderly trading conditions on any of its markets;[Note: Article 26(2), first sentence (part) and Article 43(2), first sentence (part) of MiFID. The rest of Article 26(2), first sentence (in so far as it relates to market operators operating an MTF) and Article 43(2), first sentence of MiFID is implemented by REC 3.21.1 R (2)]
REC 3.17.1RRP
Where, because of the occurrence of any event or circumstances, a UK recognised body is unable to discharge any regulatory function, it must immediately give the FSA notice of its inability to discharge that function, and inform the FSA:(1) what event or circumstance has caused it to become unable to do so; (2) which of its regulatory functions it is unable to discharge; and(3) what action, if any, it is taking or proposes to take to deal with the situation and, in particular,
LR 4.1.3RRP
An issuer must ensure that listing particulars for securities referred to in LR 4.1.1 R are approved by the FSA and published in accordance with LR 4.3.5 R.Note: Under LR 2.2.11 R, the securities will only be listed if listing particulars for the securities have been approved by the FSA and published.