Related provisions for SYSC 22.7.5
1 - 6 of 6 items.
The Glossary definition of employer covers more than just a conventional employer and so it may not always be obvious who a person’semployer is. Therefore a full scope regulatory reference firm appointing someone to a position that requires a reference may have to get the employee’s help in identifying their previous employers.
If at any time:(1) a full scope regulatory reference firm (B) has given a reference under SYSC 22.2.2R to another firm (A) about an employee or ex-employee of B (P);(2) B was also a full scope regulatory reference firm when it gave the reference in (1);(3) either of the following applies:(a) B is aware of matters or circumstances that mean that if B had been aware of them when giving that reference, this chapter would have required B to draft the reference differently; or(b) the
(1) This rule applies to members of a firm’sconduct rules staff apart from conduct rules staff in COCON 1.1.9R. 6522(2) Subject to (3), COCON only applies to the conduct of persons to whom this rule applies (as set out in (1)) if that conduct:6(a) 6is performed from an establishment maintained in the United Kingdom by:(i) (for a relevant authorised person) that person’semployer; or(ii) (for a Solvency II firm or a small non-directive insurer8) the firm in relation to whom that
If:(1) a firm (A) is thinking of appointing someone (P) to a position that entitles A to obtain a reference from another firm (B); and (2) P was an employee of other members of B’s group as well as of B;then:(3) (if A is a full scope regulatory reference firm) A should ask all the group members that employed P for a reference; (4) B should give a reference if A asks it to (whether or not A is a full scope regulatory reference firm); (5) P’s employers in that group (including any
(1) SYSC 22.9.1R applies to keeping records created before the date this chapter came into force as well as ones created afterwards.(2) A full scope regulatory reference firm does not breach the requirements of this chapter by failing to include something in a reference because it destroyed the relevant records before the date this chapter came into force in accordance with the record keeping requirements applicable to it at the time of destruction.