Related provisions for SUP 1A.4.7

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CONC 8.9.5GRP
The FCA would expect firms that agree with lead generators to accept sales leads in relation to debt counselling or debt adjusting to be able to identify, upon request, all the lead generators from which they have received leads (with the FCA authorisation number, where applicable).
COLL 8.1.5GRP
Details of the application procedures in respect of qualified investor schemes are contained in COLL 2.1 (Authorised fund applications). COLLG provides details on how notifications may be made to the FCA.
DTR 2.5.4GRP
(1) In the FCA’s opinion, paragraph 5(1)(8)(a) of the ESMA MAR delayed disclosure guidelines does3 not envisage that an issuer will: 2(a) delay public disclosure of the fact that it is in financial difficulty or of its worsening financial condition and is limited to the fact or substance of the negotiations to deal with such a situation; or2(b) delay disclosure of inside information on the basis that its position in subsequent negotiations to deal with the situation will be jeopardised
PERG 8.8.3GRP
Where communications by persons in another EEA State are made to or directed at persons in the United Kingdom account must be taken of the effect of any relevant EU Directives. For example, the E-Commerce Directive will, with limited exceptions, prevent the United Kingdom from imposing restrictions on incoming financial promotions in information society services. The Treasury has given effect to this through the Financial Promotion Order (see1PERG 8.12.38 G). Other potentially
MAR 5A.3.10RRP
A firm must:(1) in respect of an OTF operated by it, or such a facility it proposes to operate, provide to the FCA a detailed explanation of:(a) why the OTF does not correspond to, and cannot operate as, an MTF, a regulated market or a systematic internaliser;(b) how discretion will be exercised in executing client orders; and(c) its use of matched principal trading; and(2) supply the information in (1) to the FCA in writing, by electronic mail to an address for the usual supervisory
COLL 4.8.3RRP
(1) An authorised fund manager of a UCITS scheme that has been approved by the FCA to operate as a feeder UCITS, including as a feeder UCITS of a different master UCITS, must provide the following information to its unitholders at least 30 calendar days before the date when the feeder UCITS is to start to invest in units of the master UCITS or, if it has already invested in them, the date when its investment will exceed the limit applicable under COLL 5.2.11R (9) (Spread: general):(a)
PR 2.1.6RRP
The summary must be in the language in which the prospectus was originally drawn up. [Note: article 19.2 PD]Note: PR 4.1 sets out rules about the language in which the prospectus must be drawn up.Note: Article 19.2 of the prospectus directive also allows the competent authority of a Host State to require that the summary be translated into its official language(s). The FCA as competent authority of a Host State requires a summary to be translated into English under PR 4.1.6 R
SUP 11.4.2ARRP
1A non-directive firm4(including, in the case of an FCA-authorised person, a firm with only a limited permission) 5must notify the appropriate regulator6 of any of the following events concerning the firm:46(1) a person becoming controller of the firm; or44(2) an existing controller ceasing to be controller of the firm.444
PERG 8.26.3GRP
PERG 8.30A includes material about2 guiding a person through a decision tree.211
PR 5.5.3BGRP
1In considering whether the functions the person performs would ordinarily be performed by officers of the issuer, the FCA will consider, among other things:(1) the nature of the board of the issuer to which the person provides services, and whether the board has the capability to act itself on strategic matters in the absence of that person's services; (2) whether the appointment relates to a one-off transaction or is a longer term relationship; and(3) the proportion of the functions
CONC 8.7.3GRP
(1) For the purposes of CONC 8.7.2R (2), an obligation is likely to be viewed as undermining the customer's ability to make significant repayments to the customer'slenders if it has the effect that the firm may allocate more than half of the sums received from the customer in any one-month period from the start of the debt management plan to the discharge (in whole or in part) of its fees or charges.(2) Once the customer has paid any initial fee for the arrangement and preparation
MCOB 10.4.3GRP
(1) MCOB 10.4.2 R means, for example, that the following charges must be included within the total charge for credit:(a) any fee payable to a mortgage intermediary for arranging the contract (see MCOB 10.4.2 R(2)); and(b) any higher lending charge.(2) The FCA takes the view that charges required to be included within the total charge for credit should not be excluded on the basis of these charges being refundable in certain circumstances. (3) The FCA also takes the view that the
ICOBS 6.1.12BGRP
[deleted]64
FIT 1.1.4GRP

1Table: Situations to which FIT applies

What FIT applies to

Does it apply to SMCR firms2?

Does it apply to firms that are not SMCR firms2?

Comment

(1) A firm assessing the fitness and propriety of a candidate whom the firm is proposing to put forward for approval

Yes

No

However, the answer to Question 11 in SUP 10A Annex 1 (Frequently asked questions) says that the FCA's approval process is not a substitute for the checks that a firm should be carrying out on its prospective recruits. FIT may be a useful guide to matters that a firm that is not an SMCR firm2 should take into account.

(2) A firm assessing the continuing fitness and propriety of an approved person

Yes

No

However, a firm should employ personnel with the skills, knowledge and expertise necessary for the discharge of the responsibilities allocated to them (SYSC 5.1). FIT may be a useful guide to matters which a firm should take into account if it is not an SMCR firm2.

(3) The FCA assessing the fitness and propriety of a candidate for approval as an approved person

Yes

Yes

(4) The FCA assessing the continuing fitness and propriety of an approved person

Yes

Yes

1(5) A firm assessing the fitness and propriety of a person whom a firm is proposing to certify to perform an FCA certification function2

Yes

No

FCA certification functions do not apply to a firm that is not an SMCR firm.2

However, see the comment on row (2).2

1(6) A firm assessing the continuing fitness and propriety of a person whom a firm has certified to perform an FCA certification function2

Yes

No

FCA certification functions do not apply to a firm that is not an SMCR firm.2

However, see the comment on row (2).2
LR 13.7.1AGRP
4In considering whether an explanation given in a circular satisfies the requirement in LR 13.7.1R (1)(g), the FCA would expect the following information to be included in the explanation:(1) the shareholdings of substantial shareholders in the listed company before and after the proposed transaction; and(2) the shareholdings of a holder of equity shares who may become a substantial shareholder in the listed company as a result of the proposed transaction.
MAR 9.2.6DRP
A person must provide MAR 9 Annexes 1D, 2D, 3D and 4D together with supporting documentation to the FCA by:(1) emailing MiFiDII.Applications@fca.org.uk; or(2) posting to the FCA addressed to: The Financial Conduct Authority FAO The Authorisations Support Team12 Endeavour Square2 London E20 1JN.2