Related provisions for DTR 8.4.17

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CASS 5.2.3RRP
(1) A firm must not agree to:(a) deal in investments as agent for an insurance undertaking in connection with an insurance distribution activity3; or(b) act as agent for an insurance undertaking for the purpose of settling claims or handling premium refunds; or(c) otherwise receive money as agent of an insurance undertaking;unless:(d) it has entered into a written agreement with the insurance undertaking to that effect; and(e) it is satisfied on reasonable grounds that the terms
COLL 4.4.13RRP
(1) Any document or notice to be served on or information to be given to, any person, including the FCA , must be in legible form.(2) For the purposes of this rule, any form is legible form which:(a) is consistent with the ICVC's, the directors', the authorised fund manager's or the depositary's knowledge of how the recipient of the document wishes or expects to receive the document;(b) is capable of being provided in hard copy by the authorised fund manager, the depositary or
INSPRU 1.5.23RRP
A firm must maintain a separate accounting record in respect of each of its long-term insurance funds (including any with-profits fund).
COLL 8.6.5RRP
In relation to an ICVC, ACS2 or an AUT which is a qualified investor scheme, the provisions in COLL 7.6 (Schemes of arrangement) will apply as appropriate to the authorised fund manager, any other directors of the ICVC and the depositary as if COLL 7.6 applied to a qualified investor scheme and did not exclude unitholders becoming unitholders in another qualified investor scheme.
COBS 19.7.19RRP
Firms must record whether the retail client has received:(1) the retirement risk warnings at step 3 of the process specified in this section;(2) regulated advice; and(3) pensions guidance.
COBS 19.1.5RRP
[deleted]7
LR 9.8.4ARRP
13Where an independent director declines to support a statement made under LR 9.8.4R (14)(a) or (c), the statement must record this fact.
CREDS 3A.5.10RRP
A firm which carries on an activity which is subject to this section must comply with the following record-keeping and disclosure requirements:(1) the firm must make a record at or near the time of the activity certifying it complies with the requirements set out in this section;(2) the record in (1) must include information and evidence demonstrating compliance with each of the requirements in this section, as applicable;(3) if the requirements of this section did not apply because
SYSC 22.7.2GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 22.8A.2G]3
IFPRU 4.4.8GRP
To be satisfied that the requirements in article 179(1) of the UK CRR1 are met, the FCA expects a firm to collect data on what it considers to be the main drivers of the risk parameters of probability of default (PD), loss given default (LGD), conversion factors (CFs) and expected loss (EL) for each group of obligors or facilities, to document the identification of the main drivers of risk parameters, and be able to demonstrate that the process of identification is reasonable
REC 2.16.3GRP
In determining whether a UK recognised body has effective arrangements for the investigation and resolution of complaints arising in connection with the performance of, or failure to perform, any of its regulatory functions, the FCA3 may have regard to the extent to which the UK recognised body's resources and procedures enable it to:3(1) acknowledge complaints promptly;(2) make an objective, prompt and thorough initial investigation of complaints;(3) provide a timely reply to
MCOB 9.5.2RRP

Table of modified cross-references to other rules:

This table belongs to MCOB 9.5.1 R.

Subject

Rule or guidance

Reference in rule or guidance

To be read as a reference to:

Application: What?

MCOB 6.1.5R

MCOB 6

MCOB 6 as modified by MCOB 9.5

Content of offer document

MCOB 6.1.6G

MCOB 5.6

MCOB 9.4

Purpose

MCOB 6.2.1G

MCOB 6

MCOB 6 as modified by MCOB 9.5

General

MCOB 6.3.2R

Records

MCOB 6.4.3R

Modifications to the illustration

MCOB 6.4.5G

MCOB 6.4.4R(5)(b)

MCOB 9.5.4R(6)(b)

Modifications to the illustration

MCOB 6.4.6R

MCOB 6.4.4(1)

MCOB 9.5.4R(1)

Modifications to the illustration

MCOB 6.4.6R(1) and (2)

MCOB 5.6

MCOB 9.4

Modifications to the illustration

MCOB 6.4.7R

MCOB 6.4.4R(1)

MCOB 9.5.4R(1)

Modifications to the illustration

MCOB 6.4.7R(2)

MCOB 5

MCOB 9

Modifications to the illustration

MCOB 6.4.7R(3)

MCOB 5.6.73R to MCOB 5.6.83G

MCOB 9.4.72R to MCOB 9.4.82G

Modifications to the illustration

MCOB 6.4.7R(3)

MCOB 5.6.92R to MCOB 5.6.112G

MCOB 9.4.91R to MCOB 9.4.110R

Other information contained in the offer document

MCOB 6.4.13R

MCOB 5.6.122R

MCOB 9.4.126R

Offer documents in place of illustrations

MCOB 6.6.1R

MCOB 5.4 and MCOB 5.5

MCOB 5.4 and MCOB 5.5 as modified by MCOB 9

MIPRU 4.2D.9RRP
In order to ensure compliance with MIPRU 4.2D.2 R, a firm must:(1) conduct on a regular basis appropriate stress tests so as to:(a) identify sources of potential liquidity strain; and(b) ensure that the risks of current liquidity exposures can be adequately managed; and(2) analyse the separate and combined impact of possible future liquidity stresses on its:(a) cash flows;(b) liquidity position; and(c) solvency; and(3) make, as soon as is practicable after a test has been performed,
CASS 7.14.3GRP
Client money that a firm allows another person to hold under CASS 7.14.2 R:(1) should only be held for transactions which are likely to occur (and for which the other person needs to receive client money) or have recently settled (and such that the other person has received client money); and (2) should be recorded in client transaction accounts by that other person.
DEPP 1.2.8GRP
The FCA2 will make and retain appropriate records of those decisions, including records of meetings and the representations (if any) and materials considered by the decision makers.2
COBS 16.3.11RRP
A firm must make, and retain, a copy of any periodic statement for a period of at least three years3 from the date of despatch.3
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
COBS 11.7.4RRP
The arrangements required under this section must in particular be designed to ensure that:(1) each relevant person covered by this section is aware of the restrictions on personal transactions, and of the measures established by the firm in connection with personal transactions and disclosure, in accordance with this section;(2) the firm:(a) is informed promptly of any personal transaction entered into by a relevant person, either by notification of that transaction or by other
CASS 1A.3.3RRP
(1) Subject to (2), a firm must make and retain an appropriate record of the person to whom responsibility is allocated in accordance with CASS 1A.3.1 R or8CASS 1A.3.1A R8.12(2) A CASS small firm must make and retain such a record only where it allocates responsibility to a person other than the person in that firm who performs the compliance oversight function.(3) A firm must ensure that the record made under this rule is retained for a period of five years after it is made.
SYSC 22.8.2GRP
(1) 3SYSC 22.8.1R does not require a firm to create or keep records that are not required under SYSC 22.9.1R (General record keeping rules) or another rule. (2) 3(1) applies to a firm whether or not SYSC 22.9.1R applies to it.