Related provisions for SUP 9.4.3

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COLL 3.1.2GRP
This chapter assists in achieving the statutory objective of protecting consumers. In particular:(1) COLL 3.2 (The instrument constituting the scheme) contains requirements about provisions which must be included in the instrument constituting the scheme to give a similar degree of protection for investors in an ICVC, AUT or ACS;1 and1(2) COLL 3.3 (Units) provides rules and guidance which deal with the classes of units to ensure that investors in each class are treated equall
FINMAR 2.1.2GRP
The purpose of this chapter is to provide guidance in relation to the FCA's functions under the short selling regulation.2222Note: Other parts of the Handbook that may also be relevant to natural and legal persons to whom the short selling regulation applies include:Chapter 2 of SUP (the Supervision manual) and DEPP (the Decision Procedure and Penalties manual).The following Regulatory Guides are also relevant:1. the Enforcement Guide (EG)
DTR 2.1.3GRP
The purpose of this chapter is to:(1) promote prompt and fair disclosure of relevant information to the market; and [Note: Recital 24 Market Abuse Directive](2) set out specific circumstances when an issuer can delay public disclosure of inside information and requirements to ensure that such information is kept confidential in order to protect investors and prevent insider dealing. [Note: Recital 5 2003/124/EC]
REC 4.2G.1GRP
(1) 1Where the FCA exercises its power conferred by section 166(1) of the Act (Reports by skilled persons), SUP 5.5.1 R, SUP 5.5.5 R and SUP 5.5.9 R (to the extent they relate to the FCA's powers under section 166 of the Act) apply to a RIE in the same way as they apply to a firm.(2) The guidance in SUP 5 which relates to the FCA's power in section 166 of the Act also applies to a RIE in the same way as it applies to a firm.
SUP 16.2.1GRP
(1) In order to discharge its functions under the Act, the appropriate regulator7 needs timely and accurate information about firms. The provision of this information on a regular basis enables the appropriate regulator7 to build up over time a picture of firms' circumstances and behaviour.7(2) Principle 11 requires a firm to deal with its regulators in an open and cooperative way, and to disclose to the appropriate regulator7 appropriately anything relating to the firm of which
SYSC 13.3.1AGRP
3The following is a non-exhaustive list of rules and guidance in the Handbook that are relevant to a firm's management of operational risk: (1) COBS contains rules and guidance that can relate to the management of operational risk; for example, COBS 2 (Conduct of business obligations), COBS 4 (Communicating with clients, including financial promotions), COBS 6 (Information about the firm, its services and remuneration), COBS 7 (Insurance mediation), COBS 9 (Suitability (including
SUP 3.5.4GRP
The appropriate regulator will regard an auditor as independent if his appointment or retention does not breach the ethical guidance in current issue from the auditor's recognised supervisory body on the appointment of an auditor in circumstances which could give rise to conflicts of interest.
IFPRU 4.1.2GRP
This chapter:(1) implements article 78 of CRD;(2) contains the rules that exercise the discretion afforded to the FCA as competent authority under articles 115, 119(5), 124(2), 125(3), 126(2), 178(1)(b), 243(2), 244(2), 286(2), 298(4) and 380 of the EU CRR; and(3) contains the guidance in relation to the IRB approach, securitisation, counterparty credit risk and credit risk mitigation.
CREDS 8.1.2GRP
The purpose of this section is to provide additional rules and guidance relating to reporting requirements that are specific to credit unions. Credit unions also need to comply with the relevant provisions of SUP relating to reporting, including SUP 16.3 and SUP 16.12.
PERG 2.1.2GRP
The purpose of this chapter is to provide guidance:(1) to unauthorised persons who wish to find out whether they need to be authorised and, if so, what regulated activities their permission needs to include; and(2) to authorised persons who may have questions about the scope of their existing permission.
SYSC 13.4.1GRP
Under Principle 11 and SUP 15.3.1 R, a firm must notify the appropriate regulator immediately of any operational risk matter of which the appropriate regulator would reasonably expect notice. SUP 15.3.8 G provides guidance on the occurrences that this requirement covers, which include a significant failure in systems and controls and a significant operational loss.
REC 6.5.2GRP
Where the FCA1 considers that it is unlikely to make a recognition order, it will discuss its concerns with the applicant with a view to enabling the applicant to make changes to its rules or guidance, or other parts of the application. If the FCA1 decides to refuse to make a recognition order, it will follow the procedure set out in section 298 of the Act (Directions and revocation: procedure) (which applies in consequence of section 290(5) of the Act (Recognition orders)) which
CASS 1.1.2GRP
The purpose of this chapter is to set out to whom, for what activities, and within what territorial limits the rules, evidential provisions and guidance in CASS apply.
SUP 14.8.1GRP
For further guidance on passporting procedures, an incoming EEA firm may1 contact the FCA or PRA authorisations team,1 or their usual supervisory contact at the appropriate UK regulator1. Incoming Treaty firms and UCITS qualifiers may1 speak to their supervisory contact at the appropriate UK regulator1 in the first instance1111
RCB 3.3.2ADRP
1The issuer must send to the FCA loan-by-loan level data relating to the asset pool in the form set out in RCB 3 Annex 7A D within one month of the end of each quarter following any issuance of regulated covered bonds after 1 January 2013. Guidance on how to complete this form is set out in RCB 3 Annex 7B G.
IFPRU 5.1.2GRP
This chapter contains guidance to help a firm understand the FCA's expectations on the extent to which the Advanced Measurement Approach (AMA) should capture its operational risks where the firm has, or is about to, implement AMA.
CREDS 9.1.2GRP
This chapter sets out rules and guidance for credit unions on completing reports concerning complaints received from eligible complainants. It replaces DISP 1.10 (Complaints reporting rules) and DISP 1.10A (Complaints data publication rules), which do not apply to credit unions (DISP 1.1.5A R).
REC 5.1.2GRP
This chapter sets out guidance for UK applicants and for UK entities which are considering making an application. Guidance for applicants and prospective applicants for ROIE2 status is given in REC 6.2