Related provisions for MCOB 4.11.3B

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

COLL 11.3.7RRP
(1) An authorised fund manager of a feeder UCITS must monitor effectively the activity of the master UCITS.(2) In performing this obligation, the authorised fund manager of the feeder UCITS may rely on information and documents received from the master UCITS, or where applicable, the master UCITS'management company, depositary or auditor, unless there is a reason for doubting their accuracy.[Note: article 65(1) of the UCITS Directive]
CONC 2.8.8RRP
Contractual terms and conditions provided by a firm to an ECA recipient must be made available in a way that allows the recipient to store and reproduce them.[Note: article 10(3) of the E-Commerce Directive]
REC 6.7.11GRP
An English glossary of technical or statistical terms may be sufficient to accompany tables of statistical or financial information.
SUP 10A.12.2GRP

Table: FCA-approved persons forms

Form

Purpose

Handbook requirement

the relevant Form A

The relevant online form on the FCA and PRA'sonline notification and application system3 or the form in SUP 10A Annex 4D (See Note)

11

Application to perform controlled functions under the approved persons regime

SUP 10A.13.3 D

Form B

SUP 10C Annex 4R5

Notice to withdraw an application to perform controlled functions under the approved persons regime

SUP 10A.13.19 R

Form C

SUP 10C Annex 5R5

Notice of ceasing to perform controlled functions

SUP 10A.14.8 R

Form D

SUP 10C Annex 6R5

Notification of changes in personal information or application details

SUP 10A.14.15 R

Form E

The relevant online form on the FCA and PRA'sonline notification and application system3 system or the form in SUP 10A Annex 8D (See Note)

11

Internal transfer of an approved person

SUP 10A.14.4 D

Note (1)5: The form in the SUP annex shown is to be used by a firm whose Part 4A permission covers only credit-related regulated activities5, and by other firms only in the event of a failure of the information technology systems used by the FCA. See the relevant "Handbook requirement".5

Note (2): Where SUP 10A.1.16BR (appointed representative of an SMCR firm) applies, the version of the form to be used is the one required by SUP 10C (FCA senior managers regime for approved persons in SMCR firms). 5
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
MAR 1.10.5GRP

Table: Provisions of the Takeover Code conformity with which will be unlikely to3, of itself, amount to market abuse (This table belongs to MAR 1.10.4G3):

11

Takeover Code provisions:

Disclosure of information which is not generally available

1(a)

2.1 , 52.7,

52.11,

8

20.1

521.3, 21.4

528.1

530.1, 30.5

555555

Standards of care

2.8 first sentence and note 4

519.1, 19.7

520.6 second sentence

523.1 plus notes

28.1

55

Timing of announcements, documentation and dealings

52.2, 2.6

5.4

6.2(b)

7.1

11.1 note 6 only

17.1

521.2 note 4 only

524.1(a)

525.1(a)

531.6(d), 31.9

533 (in so far as it refers to 31.6(d) and 31.9 only)

555555

Content of announcements

2.4 (a) and (b)

19.31
CASS 5.5.24GRP
(1) CASS 5.5.23 R allows a firm with appointed representatives, field representatives and other agents to avoid the need for the representative to forward client money on a daily basis but instead requires a firm to segregate into its client money bank account amounts which it reasonably estimates to be sufficient to cover the amount of client money which the firm expects its representatives or agents to receive and hold over a given period. At the expiry of each such period, the
BIPRU 3.4.56BGRP
(1) 4This paragraph provides guidance on BIPRU 3.4.56A R.(2) For the purposes of BIPRU 3.4.56A R (2), a firm may use the FTSE UK gilt 10-year yield index which the Council of Mortgage Lenders makes available to its members.(3) If a firm offers a variable interest rate on a lifetime mortgage, it should calculate an average interest rate in a way which is consistent with the calculation of the discount rate.(4) To determine the projected number of years to maturity of the exposure,
BIPRU 5.4.56RRP
A firm must update its data sets at least once every three months and must also reassess them whenever market prices are subject to material changes. This implies that volatility adjustments must be computed at least every three months.[Note:BCD Annex VIII Part 3 point 52]
FEES 4.2.7IRRP
42If a firm does not have sufficient tariff data to enable the periodic fees calculation to be made in respect of that fee year, it must calculate an annualised figure based on actual data where possible. If the tariff base is a cumulative measure like income, covering the full year, it must apply the formula (A÷B) x 12, where:A = the total income from the date of authorisation up to the firm’s financial year end or 31 December (whichever is sooner), calculated according to the
SUP 18.2.5GRP
Transfers may have both positive and negative effects on individual consumers.A key concern in this regard for each regulator will be to be satisfy itself that each consumer has adequate information and reasonable time within which to determine whether or not he is adversely affected and, if adversely affected, whether to make representations to the court.888