Related provisions for PERG 7.4.13

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PERG 2.1.2GRP
The purpose of this chapter is to provide guidance:(1) to unauthorised persons who wish to find out whether they need to be authorised and, if so, what regulated activities their permission needs to include; and(2) to authorised persons who may have questions about the scope of their existing permission.
SUP App 2.10.1GRP
The PRA6 will ask Solvency II firms3 seeking a grant or variation of permission to provide a scheme of operations as part of the application process (see article 18 of the Solvency II Directive). It may make a similar request to other firms3 (see SUP 6.3.25 G). Firms which have submitted such a scheme of operations are3 not required to submit to the PRA6 a further scheme of operations under this appendix unless SUP App 2.8 or the relevant parts of PRA Rulebook: Non-Solvency II
DISP 3.8.2BRRP
24This does not prevent the Ombudsman disclosing information:(1) to the extent that he is required or authorised to do so by law; or(2) to the parties to the complaint; or(3) in his determination; or(4) at a hearing in connection with the complaint.
EG 3.2B.2RP
An officer with authorisation from the FCA may exercise the section 122B power to require information and documents. This includes an FCA employee or an agent of the FCA.
PERG 5.10.1GRP
It must be emphasised that activities which concern invitations to renew policies and the subsequent effecting of renewal of policies are likely to fall within insurance distribution activity2. Those considering the need for authorisation or variation of their permissions will wish to consider whether a process of tacit renewal operates: that is, where a policyholder need take no action if they wish to maintain their2 insurance cover by having their2policy 'renewed'. This process
CASS 12.1.2GRP
United States ('US') legislation restricts the ability of non-US firms to trade on behalf of customers resident in the US ('US customers') on non-US futures and options exchanges. The relevant US regulator (the CFTC) operates an exemption system for firms authorised under the Act. Under the Part 30 exemption order, eligible firms may apply for confirmation of exemptive relief from Part 30 of the General Regulations under the US Commodity Exchange Act. In line with this system,
SUP 13A.2.2GRP
An EEA firm may passport those activities which fall within the scope of the relevant Single Market Directive or the auction regulation2 as long as they are included in its Home State authorisation.
SUP 14.8.1GRP
For further guidance on passporting procedures, an incoming EEA firm may1 contact the FCA or PRA authorisations team,1 or their usual supervisory contact at the appropriate UK regulator1. Incoming Treaty firms and UCITS qualifiers may1 speak to their supervisory contact at the appropriate UK regulator1 in the first instance1111
PERG 8.19.1GRP
Article 10 of the Financial Promotion Order (Application to qualifying contracts of insurance) precludes any of the exemptions from applying to a financial promotion which invites or induces a person to enter into a life policy with a person who is not:(1) an authorised person; or(2) an exempt person who is exempt in relation to effecting or carrying out contracts of insurance of the class to which the promotion relates; or(3) a company with its head office or a branch or agency
PERG 1.1.2GRP
The purpose of this manual is to give guidance about the circumstances in which authorisation is required, or exempt person status is available, including guidance on the activities which are regulated under the Act and the exclusions which are available.
EG 19.6.1RP
1The RAO sets out those activities which are regulated for the purposes of the Act. Part V of the RAO also requires the FCA to maintain a register of all those people who are not authorised by the FCA but who carry on insurance distribution2 activities. Under article 95 RAO, the FCA has the power to remove from the register an appointed representative who carries on insurance distribution2 activities if it considers that he is not fit and proper. The FCA will give the person a
FEES 5.9.3GRP
[deleted]3838
SUP 1A.2.1GRP
(1) The Supervision manual (SUP) and Decision Procedure and Penalties manual (DEPP) form the Regulatory Processes part of the Handbook.(2) SUP sets out the relationship between the FCA and authorised persons (referred to in the Handbook as firms). As a general rule, SUP contains material that is of continuing relevance after authorisation.(3) DEPP is principally concerned with and sets out the FCA's decision making procedures that involve the giving of statutory notices, the FCA's
EG 3.8.2RP
1An officer with authorisation from the FCA may exercise the section 131E power to require information and documents from natural or legal persons. This includes an FCA employee or an agent of the FCA.
CONC 6.5.2RRP
(1) Where rights of a lender under a regulated credit agreement are assigned to a firm, that firm must arrange for notice of the assignment to be given to the customer: (a) as soon as reasonably possible; or(b) if, after the assignment, the arrangements for servicing the credit under the agreement do not change as far as the customer is concerned, on or before the first occasion they do.[Note: section 82A of CCA] (2) Paragraph (1) does not apply to an agreement secured on land.(3)