Related provisions for DTR 6.2.9
241 - 260 of 393 items.
The following events are examples of events likely to affect an assessment of whether an ROIE1 is continuing to satisfy the recognition requirements11(1) significant changes to any relevant law or regulation in its home territory, including laws or regulations:(a) governing exchanges or, if relevant to an ROIE's satisfaction of the recognition requirements,1clearing houses;(b) designed to prevent insider dealing, market manipulation or other forms of market abuse or misconduct;(c)
This section applies to:(1) a firm that is the EEA parent undertaking of an RRD group; (2) a qualifying parent undertaking that is the EEA parent undertaking of an RRD group; and(3) an IFPRU 730k firm that is the subsidiary of the EEA parent undertaking of an RRD group where: (a) the EEA parent undertaking is an EEA parent financial holding company or an EEA parent mixed financial holding company that is incorporated in, or formed under, the law of an EEA state other than the
(1) 3A firm must, at the level of the EEA financial conglomerate, regularly provide the FCA2 with details on the financial conglomerate's legal structure and governance and organisational structure, including all regulated entities, non-regulated subsidiaries and significant branches.(2) A firm must disclose publicly, at the level of the EEA financial conglomerate, on an annual basis, either in full or by way of references to equivalent information, a description of the financial
A listed company which changes its name must, as soon as possible:(1) notify a RIS of the change, stating the date on which it has taken effect;(2) inform the FCA in writing of the change; and(3) where the listed company is incorporated in the United Kingdom, send the FCA a copy of the revised certificate of incorporation issued by the Registrar of Companies.
3The FCA is the single statutory regulator for all financial business in the UK. Its strategic objective under the Financial Services and Markets Act 2000 (the 2000 Act) is to ensure that the relevant markets function well. The FCA's operational objectives are: securing an appropriate degree of protection for consumers;protecting and enhancing the integrity of the UK financial system; andpromoting effective competition in the interests of consumers in the markets.(Note: The 2000
Generally, in relation to a UK establishment of an overseas firm or a firm which is part of an overseas group, where an overseas manager’s responsibilities in relation to the United Kingdom are strategic only, they9 will not need to be an FCA-approved person. However, where, in accordance with 9SYSC 4 to SYSC 10, they are9 responsible for implementing that strategy in the United Kingdom, and have9 not delegated that responsibility to a senior manager in the United Kingdom, they
(1) This rule applies to a UK firm operating a multilateral trading facility or an OTF and a UK branch of a third country investment firm operating a multilateral trading facility or an OTF.(2)
A firm must apply position management controls which enable an MTF or OTF at least to:
(a) monitor the open interest positions of persons;(b)
access information, including all relevant documentation, from persons about:
(i) the size and purpose of a position or exposure entered into;(ii)
Type of AIFM |
Rules |
Directions |
Guidance |
AIFMD level 2 regulation |
FUND 3.4 (Reporting obligation to the FCA) and SUP 16.18.5 R |
Article 110 (Reporting to competent authorities) (as replicated in SUP 16.18.4 EU) |
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Article 110 (Reporting to competent authorities) (as replicated in SUP 16.18.4 EU) |
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Article 110 (Reporting to competent authorities) (as replicated in SUP 16.18.4 EU) |
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Article 110 (Reporting to competent authorities) (as replicated in SUP 16.18.4 EU) |
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small non-EEA AIFMmarketing in the UK |
Article 110 (Reporting to competent authorities) (as replicated in SUP 16.18.4 EU) |
1The FCA is a competent authority under the CPC Regulation, which aims to encourage and facilitate co-operation between competent authorities across the EU in consumer protection matters. The FCA is a competent authority for the purposes of specified EU
consumer protection laws27 in the context of the regulated activities of authorised firms and of breaches by UK
firms concerning “specified contracts” as defined in the Financial Services (Distance
Rights conferred on third parties cannot be affected by guidance given by the FCA. This guidance represents the FCA's view, and does not bind the courts, for example, in relation to the enforceability of a contract where there has been a breach of the general prohibition on carrying on a regulated activity in the United Kingdom without authorisation (see sections 26 to 29 of the Act (Enforceability of Agreements)).
In a few instances, the requirements of a particular exemption may affect the practicality of its being combined with another. These are article 12 (Communications to overseas recipients) and article 52 (Common interest group of a company). Article 12, for example, requires that financial promotions must be made to or directed only at overseas persons and certain persons in the United Kingdom. This presents no difficulty with article 12 being combined with other exemptions in