Related provisions for FEES App 1.1.8

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

FEES 10.5.4RRP

Table of rules in FEES 4 that also apply in FEES 10.

FEES 4 incorporated into FEES 10

Description

Modifications

FEES 4.2.4 R

Method of payment

none

2

2

2

2

2

2

2FEES 4.2.7ER

Modifications for persons becoming subject to periodic fees during the course of a fee year

none

2FEES 4.2.7FR

Calculating the fee in the firm’s first year of authorisation

none

2 FEES 4.2.7GR

Calculating fees in the second fee-year where the firm received permission between 1 January and 31 March in its first fee year

none

2FEES 4.2.7HR to FEES 4.2.7KR

Calculating all other fees in the second and subsequent years of authorisation where a full year of tariff data is not available

none

FEES 4.2.8 R

How FEES 4.2.7 R applies to an incoming EEA firm or an incoming Treaty firm

none

FEES 4.2.9 G

Fee payers ceasing to hold relevant status or reducing the scope of their permission after start of relevant period

Reference to column (1) of the table in FEES 4.2.11 R is a reference to FEES 10.1.2 G

FEES 4.3.7 R

Groups of firms

Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R.

FEES 4.3.13 R

Firms applying to cancel or vary permission before start of period

Reference toFEES 4.2.1 R is a reference to FEES 10.2.1 R.

FEES 4.3.17R2

Firms acquiring businesses from other firms

Reference to FEES 4.2.7ER to FEES 4.2.7KR2 is a reference to FEES 10.2.5 R

Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R

FEES 4.4.1 R to FEES 4.4.6 R

Information on which fees are calculated

none
ICOBS 6.4.12GRP
(1) When explaining the implications of a change, a firm should explain any changes to the benefits and significant or unusual exclusions arising from the change.(2) Firms will need to consider whether mid-term changes are compatible with the original policy, in particular whether it reserves the right to vary premiums, charges or other terms. Firms also need to ensure that any terms which reserve the right to make variations are not themselves unfair under the Unfair Terms Regulations
GEN 4.5.6AGRP
4As well as potentially breaching the requirements in this section, misleading statements by a firm may involve a breach of Principle 7 (Communications with clients) or section Part 7 (Offences relating to financial services) of the Financial Services Act 2012, as well as giving rise to private law actions for misrepresentation.
SYSC 19A.3.55GRP
(1) Sections 137H and 137I of the Act enables the FCA6 to make rules that render void any provision of an agreement that contravenes specified prohibitions in the Remuneration Code, and that provide for the recovery of any payment made, or other property transferred, in pursuance of such a provision. SYSC 19A.3.53A R and1SYSC 19A.3.54 R (together with SYSC 19A Annex 1) are such rules1 and render1 void provisions of an agreement that contravene the specified prohibitions on guaranteed
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
BIPRU 4.10.51RRP
GA as calculated under BIPRU 5.8.11 R is then taken as the value of the protection for the purposes of calculating the effects of unfunded credit protection under the IRB approach.[Note: BCD Annex VIII Part 4 point 8 (part)]
DEPP 2.5.18GRP
Some of the distinguishing features of notices given under enactments other than the Act are as follows: (1) [deleted]66(2) [deleted]66(3) Friendly Societies Act 1992, section 58A1: The warning notice and decision notice must set out the terms of the direction which the FCA6 proposes or has decided to give and any specification of when the friendly society is to comply with it. A decision notice given under section 58A(3) must give an indication of the society's right, given by