Related provisions for ICOBS 6.1.9

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EG 9.3.5RP
2The following are examples of types of behaviour which have previously resulted in FCA the deciding to issue a prohibition order or withdraw the approval of an approved person:(1) Providing false or misleading information to the FCA; including information relating to identity, ability to work in the United Kingdom, and business arrangements; (2) Failure to disclose material considerations on application forms, such as details of County
COLL 13.2.7RRP
Where the qualifying master scheme is a UCITS scheme or a non-UCITS retail scheme, the authorised fund manager of the qualifying master scheme must not, if it would unfairly prejudice the interests of unitholders of the qualifying master scheme other than the feeder NURS, provide or make available information to the authorised fund manager of the feeder NURS without at the same time also providing or making available that information to the unitholders of the qualifying master
DEPP 6.5C.3GRP
(1) The FCA3 may increase or decrease the amount of the financial penalty arrived at after Step 2, but not including any amount to be disgorged as set out in Step 1, to take into account factors which aggravate or mitigate the market abuse. Any such adjustments will be made by way of a percentage adjustment to the figure determined at Step 2.3(2) The following list of factors may have the effect of aggravating or mitigating the market abuse:(a) the conduct of the individual in
DTR 8.5.4RRP
(1) The FCA may require a primary information provider to provide specified information or specified documents to the FCA.(2) The primary information provider must as soon as practicable provide to the FCA any information or documents it has been required to provide under (1).(3) This rule applies only to information or documents reasonably required by the FCA in connection with the performance of its functions in relation to a primary information provider.
CASS 7A.2.4RRP
If a primary pooling event occurs, then4:(1) (a) in respect of a sub-pool,4 the following is treated as a single notional pool of client money for the beneficiaries of that pool:45(i) any client money held in a client bank account of the firm relating to that sub-pool; and5(ii) any client money held in a client transaction account of the firm relating to that sub-pool, except for client money held in a client transaction account at an authorised central counterparty3 or a clearing
COBS 4.5.6RRP
(1) If information compares relevant business, relevant investments, or persons who carry on relevant business, a firm must ensure that:(a) the comparison is meaningful and presented in a fair and balanced way; and(b) in relation to MiFID or equivalent third country business;(i) the sources of the information used for the comparison are specified; and(ii) the key facts and assumptions used to make the comparison are included.(2) In this rule, in relation to MiFID or equivalent
DEPP 6.5B.3GRP
(1) The FCA3 may increase or decrease the amount of the financial penalty arrived at after Step 2, but not including any amount to be disgorged as set out in Step 1, to take into account factors which aggravate or mitigate the breach. Any such adjustments will be made by way of a percentage adjustment to the figure determined at Step 2.3(2) The following list of factors may have the effect of aggravating or mitigating the breach:(a) the conduct of the individual in bringing (or
ICOBS 7.1.6RRP
If a consumer exercises the right to cancel he must, before the expiry of the relevant deadline, notify this following the practical instructions given to him. The deadline shall be deemed to have been observed if the notification, if on paper or another durable medium, is dispatched before the deadline expires.[Note: article 6(1) and (6) of the Distance Marketing Directive]
REC 2.10.3GRP
In determining whether a UK recognised body's measures are appropriate to reduce the extent to which its facilities can be used for a purpose connected with market abuse or financial crime, to facilitate their detection and to monitor their incidence, the FCA3 may have regard to:3(1) whether the rules of the UK recognised body enable it to disclose any information to the FCA,3 or other appropriate bodies involved in the detection, prevention or pursuit of market abuse or financial
REC 6.2.6GRP
All material should be supplied in English, or accompanied, if appropriate, by an accurate English translation. An English glossary of technical or statistical terms may be sufficient to accompany tables of statistical or financial information.
SYSC 20.2.7GRP
(1) The FSAappropriate regulator may request a firm to submit the design and results of its reverse stress tests and any subsequent updates as part of its ARROW risk assessment. (2) In the light of the results of a firm's reverse stress tests, the FSAappropriate regulator may require the firm to implement specific measures to prevent or mitigate the risk of business failure where that risk is not sufficiently mitigated by the measures adopted by the firm in accordance with SYSC
CONC 4.3.7GRP
1For the purposes of CONC 4.3.6R, a warning will not be treated as prominent unless it is presented in such a way that it is likely that the attention of the average customer would be drawn to it.
ICOBS 5.3.3RRP
If an insurance intermediary informs a customer that it gives advice on the basis of a fair analysis, it must give that advice on the basis of an analysis of a sufficiently large number of contracts of insurance available on the market to enable it to make a recommendation, in accordance with professional criteria, regarding which contract of insurance would be adequate to meet the customer's needs. [Note: article 12(2) of the Insurance Mediation Directive]
DISP 2.8.1RRP
19The Ombudsman can only consider a complaint if:(1) the respondent has already sent the complainant its final response or summary resolution communication; or51212(2) eight weeks have elapsed since the respondent received the complaint; or3(3) in relation to a complaint the subject matter of which falls to be dealt with (or has properly been dealt with) under a consumer redress scheme:3(a) the respondent has already sent the complainant its redress determination under the scheme;
DTR 7.2.11RRP
(1) 4An issuer that elects to include its corporate governance statement in a separate report as permitted by DTR 7.2.9R(1) must provide the information required by DTR 7.2.10R in that report.(2) 4An issuer that elects to include its corporate governance statement in a document publicly available on the issuer's website to which reference is made in the directors’ report as permitted by DTR 7.2.9R(2) must provide the information required by DTR 7.2.10R in that document.
DEPP 6.5A.3GRP
(1) The FCA2 may increase or decrease the amount of the financial penalty arrived at after Step 2, but not including any amount to be disgorged as set out in Step 1, to take into account factors which aggravate or mitigate the breach. Any such adjustments will be made by way of a percentage adjustment to the figure determined at Step 2.2(2) The following list of factors may have the effect of aggravating or mitigating the breach:(a) the conduct of the firm in bringing (or failing
PERG 7.4.3GRP
(1) There are two specified formats for advice appearing in writing or other legible form.(2) The first is that of a newspaper, journal, magazine or other periodical publication. For these purposes it does not matter what form the periodical publication takes as long as it can be read. This will include, for example, a newspaper appearing as a hard copy or electronically on a website. It will also include any periodical published on an intranet site.(3) The second is that of a
PR 2.2.5RRP
If PR 2.2.4 R applies, the securities note must provide information that would normally be provided in the registration document where1 there has been a material change or recent development which could affect an investor's assessment1 since the latest updated registration document was approved, unless such information is provided in a supplementary prospectus1. The securities note and summary shall be subject to a separate approval. [Note: article 12.2 PD]