Related provisions for SUP 10A.14.18
81 - 96 of 96 items.
4The effect of SUP 13.8.1 R (1) is that a firm should submit any form, notice or application under SUP 13.8.1 R (1) in the following ways:(1) A UK firm, other than a credit union, should submit it online at www.fca.org.uk16 using the online notification and application system13. 161688(2) If the information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored, a firm should submit it
The standing data is made available to the firm when the firm logs into the appropriate section of the FCA's10 website. The firm should check the standing data and send any corrections to the FCA10 . The FCA's10 preferred method of receiving corrections to standing data is by the online forms available at the FCA's10 website.22020202020202020
11The
requirement to keep information at the disposal of the FCA means that a firm should
maintain that information in such a form that it can readily be gathered and
transmitted to the FCA upon request. Where more than
one firm has given effect to
a transaction, each firm should be considered to have carried
out the transaction for the
purposes of SUP 17.4.3 R and should keep the records, even where only
one firm makes a transaction report as contemplated in this
Chapter.
A report or data item13 must:13(1) give the firm reference number (or all the firm reference numbers in those cases where a report is submitted on behalf of a number of firms,as set out in SUP 16.3.25 G)13; and4949(2) if submitted in paper form, be submitted with the cover sheet contained in SUP 16 Annex 13 R4949 fully completed13.21
If a firm ceases to be a participant firm or carry out activities within one or more classes54 part way through a financial year4 of the compensation scheme:4(1) it will remain liable for any unpaid levies which the FSCS has already made on the firm; and41(2) the FSCS may make one or more levies4 upon it (which may be before or after the firm5 has ceased to be a participant firm or carry out activities within one or more classes5,4 but must be before it ceases to be an authorised
A firm must notify the FCA, using the form in SUP 15 Annex 8R,
where:(a) in any 12-month period, it has upheld three complaints about
matters relating to activities carried out by any one employee
when acting as a retail investment adviser; or(b) it has upheld a complaint about matters relating to activities
carried out by any one employee when acting as a retail
investment adviser, where the redress paid exceeds £50,000.(2) A notification made under (1)(a) must be made by the
8A credit firm which carries on the activity of entering into a regulated credit agreement as lender , in respect of an agreement 9to which articles 5 and 6 of the Consumer Credit Directive apply is under an obligation to disclose pre-contract information in the form and to the extent required by the Consumer Credit (Disclosure of Information) Regulations 2010 (SI 2010/1013)9. Firms which carry on credit broking may take on the same obligation. A credit firm must also ensure specified
If the Part 4A permission of a firm contains a requirement obliging it to comply with this rule with respect to a third-country banking and investment group of which it is a member, it must comply, with respect to that third-country banking and investment group, with the rules in Part 2 of GENPRU 3 Annex 2, as adjusted by Part 3 of that annex.
- Previous page
- 1
- ..
- 4
- 5
- Next page