Related provisions for CONC 7.17.10

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EG 15.3.1RP
1When it decides whether to exercise its power to disqualify an auditor or actuary under section 345(1), and what the scope of any disqualification will be, the FCA will take into account all the circumstances of the case. These may include, but are not limited to, the following factors: (1) the nature and seriousness of any breach of rules and the effect of that breach: the rules are set out in SUP 3 (Auditors) and SUP 4 (Actuaries), and in the case of firms which are ICVCs,
MCOB 12.2.1GRP
(1) Principle 6 requires a firm to pay due regard to the interests of its customers and treat them fairly. A firm is also under an obligation, as a consequence of this sourcebook's disclosure requirements,1 to make charges transparent to customers. This chapter reinforces these requirements by preventing a firm from imposing unfair and excessive charges.1(2) The level of charges under a regulated mortgage contract,2home reversion plan1 or regulated sale and rent back agreement2
SYSC 4.9.8GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.9.8G]3
DISP App 3.5.2GRP
For example, the complainant may have reasonably expected that the claim would have been paid where the firm failed to disclose appropriately an exclusion or limitation later relied on by the insurer to reject the claim and it should have been clear to the firm that that exclusion or limitation was relevant to the complainant.
SUP 11.6.2RRP
After submitting a section 178 notice2under SUP 11.4.2 R orSUP 11.4.2A R2 and until the change in control occurs (or is no longer to take place), SUP 15.6.4 R and SUP 15.6.5 R apply to a UK domestic firm in relation to any information its controller or proposed controller provided to the appropriate regulator4 under SUP 11.5.1 R or SUP 11.3.7 D.1224
MCOB 2A.3.6RRP
A firm must disclose to the consumer its arrangements for complying with the obligations in MCOB 2A.3.1 R in the MCD regulated mortgage contract.[Note: article 23(6) of the MCD]
DTR 2.1.3GRP
The purpose of this chapter is to:(1) promote prompt and fair disclosure of relevant information to the market; and2(2) give guidance on aspects relating to disclosure of such information, including the circumstances allowing delayed disclosure.2
DEPP 2.4.1GRP
Sections 393 (Third party rights) and 394 (Access to FCA1 material) of the Act confer additional procedural rights relating to third parties and to disclosure of FCA1 material. These rights apply in certain warning notice and decision notice cases referred to in section 392 of the Act (Application of sections 393 and 394). The cases in which these additional rights apply are identified in DEPP 2 Annex 1 by asterisks; these are generally cases in which the warning notice or decision
MCOB 2A.4.3GRP
MCOB 7A.3 sets out the MCOB disclosure rules in relation to early repayment.
EG 19.19.1RP
1The Lloyd’s Accounting Regulations implement the Audit and Accounts Directives in relation to the Lloyd’s insurance market. They aim to increase the transparency of the accounts published by Lloyd’s syndicates by imposing requirements in relation to the preparation and disclosure of the accounts. The Regulations give the FCA the power to institute criminal proceedings for an offence committed under the Regulations.
EG 4.6.1RP
1As is explained in the chapter of this guide on publicity (chapter 6), the FCA will not normally make public the fact that it is or is not investigating a matter and its expectation is that the person under investigation will also treat the matter as confidential. However, subject to the restrictions on disclosure of confidential information in section 348 of the Act, this does not stop the person under investigation from seeking professional advice or making their own enquiries
MCOB 4.9.4GRP
(1) Firms are reminded that MCOB 1.2.7 R enables them to substitute an alternative for 'mortgage' in the initial disclosure in relation to a regulated mortgage contract for a business purpose or a high net worth mortgage customer4.2332322(2) [deleted]433232333(3) Where the initial disclosure in relation to a regulated mortgage contract for a business purpose or a high net worth mortgage customer3 makes reference to the permitted business of a firm, 4a firm can add text explaining
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)
MCOB 6A.5.1RRP
If a firm makes an offer to a consumer with a view to entering into or varying an MCD regulated mortgage contract which is a distance contract, it must provide the consumer with the following information with the offer document:(1) the EEA State or states whose laws are taken by the firm as a basis for the establishment of relations with the consumer prior to the conclusion of the MCD regulated mortgage contract;(2) any contractual clause on law applicable to the MCD regulated
MCOB 7.9.1RRP
1Where the terms of a regulated sale and rent back agreement include a provision conferring upon the SRB agreement seller a right to receive any sum, or exercise any option, in relation to the transaction after it has been concluded, the SRB agreement provider must take reasonable steps to inform the SRB agreement seller in good time of any steps which the SRB agreement seller must take if he wishes to receive the sum or exercise the option.
MCOB 5.2.1GRP
(1) MCOB 5 amplifies Principle 6 and Principle 7.1(2) The purpose of MCOB 5 is to ensure that, before a customer submits an application for a particular home finance transaction1, he is supplied with information that makes clear:1(a) (in relation to a regulated mortgage contract) its features, any linked deposits, any linked borrowing and any tied products; and11(b) the price that the customer will be required to pay under that home finance transaction, 1to enable the customer
DTR 1.4.2GRP
2If trading of an issuer'sfinancial instruments is suspended, the issuer, any persons discharging managerial responsibilities and any connected person must continue to comply with all applicable disclosure requirements.
CONC 7.4.1RRP
A firm must provide the customer or another person acting on behalf of the customer with information on the amount of any arrears and the balance owing.[Note: paragraph 3.3f of DCG]
IFPRU 11.5.10RRP
Before entering into an RRD group financial support agreement, a firm or qualifying parent undertaking must ensure that:(1) the RRD group financial support agreement includes principles for the calculation of the consideration for any support made under it; (2) these principles include a requirement that the consideration is set when the financial support is given;(3) each party acts freely and in its own best interests in entering into the RRD group financial support agreement; (4)
IFPRU 11.5.22RRP
A firm or qualifying parent undertaking must: (1) make public:(a) whether or not they have entered into an RRD group financial support agreement; (b) a description of the general terms of any RRD group financial support agreement; and(c) the names of the group members that are a party to the RRD group financial support agreement; and (2) update the information in (1) at least annually.[Note: article 26 of RRD]