Related provisions for MCOB 4.11.3B

101 - 120 of 166 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SYSC 22.2.1RRP
(1) If a3firm (A) is considering:12(a) permitting or appointing someone (P) to perform a controlled function; 3(b) issuing a certificate under the certification regime for P; or3(ba) 3appointing a board director;(as explained in more detail in rows (A) and (B) of the table in SYSC 22.2.3R), A must take reasonable steps to obtain appropriate references from: (c) P’s current employer; and(d) anyone who has been P’s employer in the past six years.(2) A must take reasonable steps
COCON 3.1.5GRP
In determining whether or not the conduct of a senior conduct rules staff member complies with rules SC1 to SC4 in COCON, factors the FCA would expect to take into account include:(1) whether they exercised reasonable care when considering the information available to them;(2) whether they reached a reasonable conclusion upon which to act;(3) the nature, scale and complexity of the firm's business;(4) their role and responsibility as determined by reference to the relevant statement
CONC 4.2.11RRP
Before a lender concludes that CONC 4.2.5R (1) to CONC 4.2.5R(4A)7 do not apply to it in relation to a regulated credit agreement by virtue of CONC 4.2.5R (5), the lender must take reasonable steps to satisfy itself that an explanation of that agreement complying with CONC 4.2.5 R has been provided to the customer by the credit broker. [Note: paragraph 3.11 (box) of ILG]
ICOBS 3.2.8RRP
The requirements relating to the placing and receipt of orders do not apply to contracts concluded exclusively by exchange of e-mail or by equivalent individual communications.[Note: article 10(4) and 11(3) of the E-Commerce Directive]
LR 9.2.19GRP
LR 9.2.18 R does not apply to:(1) pro forma financial information prepared in accordance with Annex 1 and Annex 2 of the PR Regulation17; or(2) any preliminary statements of annual results or half-yearly or quarterly reports that are reproduced with the unaudited financial information.
MCOB 4.10.5CGRP
3A firm should take reasonable steps to obtain from a customer all information likely to be relevant for the purposes of MCOB 4.10.5A R to MCOB 4.10.9A R.
MCOB 6.4.6RRP
In adapting and revising the illustration that is part of the offer document in accordance with MCOB 6.4.4 R(1) a firm must:(1) avoid amending the format of the information required by MCOB 5.6 (Content of illustrations) where possible, since this could result in the illustration in the offer document being difficult to compare with the illustration originally provided to the customer in accordance with MCOB 5.5.1 R;(2) use, where possible, the same headings, ordering of information,
ICOBS 5.2.2RRP
(1) Prior to the conclusion of a contract of insurance2 a firm must specify,2 on the basis of information obtained from2 the customer, the demands and the needs of that customer2.(2) The details must be modulated according to the complexity of the contract of insurance2 proposed and the type of customer.2(3) 2A statement of the demands and needs must be communicated to the customer prior to the conclusion of a contract of insurance.[Note: articles 20(1) and 20(2) of the IDD2]
DISP App 3.1.6GRP
3For the purposes of the definitions of “actual profit share”, “anticipated profit share” and “commission”, where the firm has no or incomplete records of the level of commission or profit share arrangements relevant to a particular payment protection contract, it should make reasonable efforts to obtain relevant information from third parties. Where no such information can be obtained, the firm may make reasonable assumptions based on, for example, commission levels or profit
LR 1.2.2RRP
(1) An application to the FCA to dispense with or modify a listing rule must be in writing.(2) The application must:(a) contain a clear explanation of why the dispensation or modification is requested;(b) include details of any special requirements, for example, the date by which the dispensation or modification is required;(c) contain all relevant information that should reasonably be brought to the FCA's attention;(d) contain any statement or information that is required by
CONC 8.3.5GRP
The information required by CONC 8.3.4 R should be provided leaving sufficient time for the customer (taking into account the complexity of the information and the customer's financial position) to consider it before having to make a decision on the appropriate course of action.
DEPP 3.2.26GRP
FCA1 staff responsible for recommending action to the RDC will continue to assess the appropriateness of the proposed action in the light of new information or representations they receive and any material change in the facts or circumstances relating to a particular matter. It may be therefore that they decide to give a notice of discontinuance to a person to whom a warning notice or decision notice has been given. The decision to give a notice of discontinuance does not require
IFPRU 4.6.18GRP
A firm should consider what use it can make of industry information. However, the firm should be seeking to measure the absolute level of, and changes to, its own default risk, rather than changes in default risk relative to the industry. Given the potential for conditions to change across in the market as a whole, a firm should not draw undue comfort from the observation that its default risk is changing in the same way as the industry as a whole. Doing so would not allow it
MAR 5.3.1RRP
1A firm4 must have:(1) transparent4 rules and procedures for fair and orderly trading;[Note: articles 18(1) and 19(1)4of MiFID](2) objective criteria for the efficient execution of orders which are established and implemented in non-discretionary rules4; [Note: articles 18(1) and 19(1)4 of MiFID](2A) arrangements for the sound management of the technical operations of the facility, including the establishment of effective contingency arrangements to cope with the risks of systems
ICOBS 6.1.8GRP
[deleted]6
DISP 1.1A.27GRP
The information regarding the Financial Ombudsman Service required to be provided in a communication sent under DISP 1.1A.25UK2 and referred to in DISP 1.1A.26R should be set out clearly, comprehensibly, in an easily accessible way and prominently within the text of those responses. [Note: article 13 of the ADR Directive]
FEES 4.3.1RRP
The periodic fee payable by a firm (except an AIFM qualifier,13ICVC or a UCITS qualifier) is:(1) each periodic fee applicable to it calculated in accordance with FEES 4.3.3 R, using information obtained in accordance with FEES 4.4; plus77(1A) any periodic fee applicable to it calculated in accordance with FEES 4.3.3A R using information relating to its UK business obtained in accordance with FEES 4.4 (or by other means in the case of the Bank of England); less7(2) any deductions
CONC 7.9.8GRP
The reasonable steps required by CONC 7.9.7 R may, for example, require a firm to ensure that:(1) post sent by the firm is properly addressed to the customer and marked “private and confidential” or an expression to the same effect;(2) where the firm has a name which indicates its debt collection activities, its name is not shown so that third parties may see the name on the firm's communications.
CONC 15.1.8RRP
Before a customer enters into a regulated credit agreement, the firm must:(1) encourage the customer to read all contractual documentation carefully; (2) take reasonable steps to ensure the customer has understood the nature of the obligations the customer will take on and the resulting risks;(3) encourage the customer to obtain independent advice; and(4) permit the customer an adequate opportunity to seek and obtain such advice.