Related provisions for IFPRU 10.1.2

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

EG 19.14.2RP
1The FCA is responsible for monitoring and enforcing compliance with the Money Laundering Regulations2 not only by authorised firms who are within the Money Laundering Regulations’ scope, but also by what the Regulations describe as “Annex I financial institutions”. These are businesses which are not otherwise authorised by us but which carry out certain of the activities listed in Annex I of the Banking Consolidation Directive28, now Annex I of the CRD. The activities include
APER 2.1A.2RRP
1An approved person will not be subject to a Statement of Principle to the extent that it would be contrary to the UK's obligations under a Single Market Directive or the auction regulation.
SUP 14.2.2GRP
(1) Where an incoming EEA firm passporting under the CRD9or the UCITS Directive has established a branch in the United Kingdom, regulation 4 states that it must not make a change in the requisite details of the branch unless it has complied with the relevant requirements.56955(2) The relevant requirements are set out in regulation 4(4) or, where the change arises from circumstances beyond the incoming EEA firm's control, in regulation 4(5) (see SUP 14.2.8 G).32
SYSC 19A.2.1RRP
A firm must establish, implement and maintain remuneration policies, procedures and practices that are consistent with and promote sound and effective risk management.[Note:1article 74(1) of CRD]1
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
SUP 13.8.2GRP
UK firms11 passporting under the CRD115 may be required to submit the change to details notice2 in the language of the Host State as well as in English. 959922
COCON 1.1.12RRP
5A person will not be subject to COCON to the extent that it would be contrary to the UK's obligations under a Single Market Directive or the auction regulation.
SYSC 4.6.20RRP
An EEA relevant authorised person may exclude from its management responsibilities map:(1) any information contained in its requisite details;(2) any information contained in any notice of changes to its requisite details under the EEA Passport Rights Regulations; and(3) any other information that has been supplied by the firm to the FCA or the PRA (including through the firm’sHome Statecompetent authority) if:(a) that information was supplied to the FCA or the PRA as a Host Statecompetent
COND 2.3.2GRP
Paragraphs 2C and 3B of Schedule 6 to the Act6 implements requirements of the Single Market Directives8, but the Act extends this condition to firms from outside the EEA and other firms which are outside the scope of the Single Market Directives.688
COLL 5.3.5RRP
(1) Cash obtained from borrowing, and borrowing which the authorised fund manager reasonably regards an eligible institution or an approved bank to be committed to provide, is not available for cover under COLL 5.3.3A R (Cover for investment in derivatives and forward transactions),3 except if (2) applies.3(2) Where, for the purposes of this section, the ICVC or the depositary4 for the account of the AUT or ACS4 on the instructions of the authorised fund manager4:44(a) borrows
MAR 5.3.1RRP
1A firm operating an MTF must have:(1) transparentand non-discretionary rules and procedures for fair and orderly trading;[Note:Article 14(1) of MiFID](2) objective criteria for the efficient execution of orders;[Note: Article 14(1) of MiFID](3) transparent rules regarding the criteria for determining the financial instruments that can be traded under its systems;[Note: Subparagraph 1 of Article 14(2) of MiFID](4) transparent rules, based on objective criteria, governing access
SYSC 19D.2.1RRP
A firm must establish, implement and maintain remuneration policies, procedures and practices that are consistent with, and promote, sound and effective risk management.[Note: article 74(1) of CRD]
IFPRU 1.2.1GRP
Throughout CRD and the EU CRR there are various policies which have restricted application based on a firm's scope, nature, scale, internal organisation and complexity. These policies are provided in the following:(1) article 76 of CRD on the establishment of an independent risk committee;(2) article 88 of CRD on the establishment of an independent nominations committee;(3) article 91 of CRD on the limitations on the number of directorships an individual may hold;(4) article 95