Related provisions for GEN 1.1.2

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COCON 2.3.1GRP
Under section 64B of the Act, an SMCR firm3 must: (1) ensure that all persons subject to the rules in COCON are notified of the rules that apply to them; and(2) take all reasonable steps to ensure that those persons understand how the rules in COCON apply to them.
EG 14.2.3RP
1The following are examples of situations where the FCA may consider it appropriate to seek a court order under section 258 (in the case of an AUT) or section 261Y (in the case of an ACS) to remove the authorised fund manager or depositary: (1) Where there are grounds for concern over the behaviour of the authorised fund manager or depositary in respect of the management of the scheme or of its assets. (2) Where an authorised
REC 4.2G.1GRP
(1) 1Where the FCA exercises its power conferred by section 166(1) of the Act (Reports by skilled persons), SUP 5.5.1 R, SUP 5.5.5 R and SUP 5.5.9 R (to the extent they relate to the FCA's powers under section 166 of the Act) apply to a RIE in the same way as they apply to a firm.(2) The guidance in SUP 5 which relates to the FCA's power in section 166 of the Act also applies to a RIE in the same way as it applies to a firm.
CASS 11.6.2GRP
Section 137B(1) of the Act provides that rules may make provisions which result in client money being held by a firm on trust. CASS 11.6.1 R creates such a rule in relation to client money held by a CASS debt management firm. The consequence of this rule is there is a fiduciary relationship between a CASS debt management firm and its client, under which client money is in the legal ownership of the firm but remains in the beneficial ownership of the client. In the event of failure
EG 6.10.2RP
1The FCA's normal approach to maintaining information about a disapplication order on the Financial Services Register is as follows. (1) While a disapplication order is in effect, the FCA will maintain a record of the order on the Financial Services Register. If the FCA grants an application to vary the order, a note of the variation will be made against the relevant entry on the Financial Services Register. (2) The FCA's policy in relation
LR 4.1.1RRP
1This chapter applies to an issuer that has applied for the admission of:(1) securities specified in Schedule 11A of the Act (other than securities specified in paragraphs 2, 4 or 9 of that Schedule); or(2) any other specialist securities for which a prospectus is not required under the prospectus directive.
SUP 10A.2.1GRP
The immediate purpose of SUP 10A.3 to SUP 10A.11 is to specify, under section 59 of the Act, descriptions of the FCA controlled function which are listed in SUP 10A.4.4 R. The underlying purpose is to establish, and mark the boundaries of, the "FCA-approved persons regime".
EG 4.2.1RP
1The Act does not always require the FCA to give written notice of the appointment of investigators, for example, where investigators are appointed as a result of section 168(1) or (4) of the Act and the FCA believes that the provision of notice would be likely to result in the investigation being frustrated, or where investigators are appointed as a result of section 168(2) of the Act.
SUP 8.4.1GRP
If the appropriate regulator1 gives a firm a waiver, then the relevant rule no longer applies to the firm. But:1(1) if a waiver directs that a rule is to apply to a firm with modifications, then contravention of the modified rule could lead to appropriate regulator1 enforcement action and (if applicable) a right of action under section 138D1 of the Act (Actions for damages); and11(2) if a waiver is given subject to a condition, it will not apply to activities conducted in breach
PR 5.1.1RRP
1A prospectus is valid for 12 months after its approval2 for an offer or an admission to trading, provided that the prospectus is updated by a supplementary prospectus (if required) under section 87G of the Act. [Note: article 9.1 PD]2
PERG 8.35.1GRP
Any person who is contemplating carrying on the regulated activities of advising on investments or making arrangements with a view to transactions in investments by way of business will need authorisation or exemption. Exemption would usually be obtained by a person entering into an agreement with an authorised person under section 39 of the Act and the Financial Services and Markets Act 2000 (Appointed Representative) Regulations 2001.1
EG 9.8.1RP
1The FCA may consider taking disciplinary action against a firm that has not taken reasonable care, as required by section 56(6) of the Act, to ensure that none of that firm's functions in relation to carrying on of a regulated activity is performed by a person who is prohibited from performing the function by a prohibition order. The FCA considers that a search by a firm of the Financial Services Register is an essential part of the statutory duty to take reasonable care to ensure
TC 1.2.1RRP
2A contravention of the rules in TC does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action).1
EG 3.1.1RP
2The FCA has various powers under sections 97, 122A, 122B, 122C,1 131E, 131FA, 165 to 169 and 284 of the Act and Schedule 5 to the CRA to gather information and appoint investigators, and to require the production of a report by a skilled person. In any particular case, the FCA will decide which powers, or combination of powers, are most appropriate to use having regard to all the circumstances. Further comments on the use of these powers are set out below.
EG 14.3.2RP
1In addition to or instead of suspending the promotion of a scheme recognised under section 264, the FCA may ask the competent authorities of the EEA State in which the scheme is constituted who are responsible for the authorisation of collective investment schemes, to take such action in respect of the scheme and/or its operator as will resolve the FCA's concerns. Also, Schedule 5 to the Act states that a person who for the time being is an operator, trustee
LR 17.5.2RRP
(1) 1This rule applies to a state, a regional or local authority and a public international body with listeddebt securities for whom the United Kingdom is its home Member State for the purposes of the Transparency Directive.(2) An issuer referred to in paragraph (1) that is not already required to comply with the transparency rules must comply with:(a) DTR 5.6.3 R (disclosure of changes in rights);(b) [deleted]2(c) DTR 6.1.3 R (2) (equality of treatment);(d) DTR 6.2 (Filing information
DEPP 6.1.1GRP
1DEPP 6 includes the FCA's3 statement of policy with respect to the imposition and amount of penalties under the Act, as required by sections 63C(1), 269(1), 88C, 89S, 393(1), 124(1), 131J(1), 192N, 32 210(1), 312J and 345D3 of the Act.33
PERG 2.1.1GRP
This chapter is relevant to any person who needs to know what activities fall within the scope of the Act.
REC 3.24.2GRP
The FCA3may regard a person who falls within any of the cases in section 301(B)(2) of the Act as being in a position to exercise significant influence. 3