Related provisions for MCOB 6.4.3
21 - 40 of 98 items.
3If a secondary pooling event occurs as a result of the failure of an authorised central counterparty: (1) any money held in a client transaction account that is an individual client account at the failedauthorised central counterparty is not pooled by the firm with any of its other client money;(2) any money held in a client transaction account that is an omnibus client account at the failedauthorised central counterparty is not pooled by the firm with any of its other client
(1) 1A Solvency II firm (including a large non-directive insurer)2 must have, and maintain, a governance map which satisfies the following conditions:(a) it complies, as applicable,2 with PRA Rulebook: Solvency II firms: Insurance – Allocation of Responsibilities, 5.1 and 5.2, or PRA Rulebook: Large Non-Solvency II firms – Allocation of Responsibilities, 5.1 and 5.2,2 as if those rules had been made by the FCA; (b) it includes details relating to all persons carrying out a significant
Where an MCD mortgage adviser, or any other firm that is an MCD mortgage lender or an MCD mortgage arranger that provides advisory services within the meaning of article 4(21) of the MCD, advises on a transaction relating to an MCD regulated mortgage contract, it must give the consumer a record on paper, or in another durable medium, of the recommendation provided.[Note: article 22(3)(e) of the MCD]
The SRB agreement provider must keep a record of the written pre-offer document at Stage One and the written offer document for signing at Stage Two for a period of:(1) one year after the end of the fixed term of the tenancy under the regulated sale and rent back agreement; or(2) five years from the date of the disclosures and warnings, written offer documents and cooling-off period notices;whichever is the longer.
(1) A firm must make and retain an adequate record of the information that it provides to each customer at the start of the regulated mortgage contract in accordance with this section.(2) The record required by (1) must be maintained for a year from the date that the information is provided to the customer.
(1) The ESIS can contain the MCD mortgage lender's or MCD mortgage credit intermediary's logo and other 'brand' information, so long as the requirements of MCOB 5A.5 are satisfied.(2) The ESIS can contain page numbers and other references that aid understanding, record keeping and identification of a particular ESIS, such as the date and time it is produced or a unique reference number, provided these do not detract from the content of the ESIS. (3) Firms are reminded of their
23If a firm considers that it can meet this requirement, the firm should by letter explain clearly to the complainant the reasons why it proposes that the benefit should not be treated as a windfall and should be taken into account. The firm should provide the complainant with copies of the relevant documents.