Related provisions for FEES 13.2.10

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SUP 10A.16.2RRP
(1) This rule applies to a notification under Form B,6 Form C or Form D.(2) A notification must be made in accordance with the requirements in SUP 10C.15 (Forms and other documents and how to submit them to the FCA) about the submission of those Forms6.4(3) [deleted]64
CASS 11.6.2GRP
Section 137B(1) of the Act provides that rules may make provisions which result in client money being held by a firm on trust. CASS 11.6.1 R creates such a rule in relation to client money held by a CASS debt management firm. The consequence of this rule is there is a fiduciary relationship between a CASS debt management firm and its client, under which client money is in the legal ownership of the firm but remains in the beneficial ownership of the client. In the event of failure
EG 5.7.2RP
1The FCA recognises the importance of consistency in its decision-making and that it must consider the approach previously taken to, say, the application of a particular rule or Principle in a given context. This applies equally to consideration by the RDC or by the settlement decision makers when they look at action taken by the FCA in earlier, similar, cases. This is not to say that the FCA cannot take a different view to that taken in the earlier case: the facts of two enforcement
REC 2A.1.3GRP
2The RAP regulations apply modified provisions of the Act to a RAP. For example, a RAP is an exempt person in respect of its business as an auction platform due to the application of section 285 of the Act as modified by the RAP regulations. Similarly, section 293 of the Act is applied and modified by the RAP regulations to provide for notification rules and notification requirements in relation to RAPs.
COLL 14.1.2GRP
This chapter sets out modifications to the rules and guidance in this sourcebook for authorised fund managers and depositaries of charity authorised investment funds.
GEN 1.1.1RRP
(1) This chapter applies to every firm. GEN 1.3 (Emergency) also applies to an unauthorised person to whom a rule in the Handbook applies.1(2) [deleted]433332
CASS 7A.1.2GRP
The client money distribution and transfer rules set out the required treatment of client money on the occurrence of a pooling event so that where:4(1) for example, a firmfails (but also in other situations where a primary pooling event occurs), the rules in CASS 7A.2 (Primary pooling events) facilitate the return or transfer of client money; and4(2) a person at which the firm holds client moneyfails, the rules in CASS 7A.3 (Secondary pooling events) allocate any loss of client
TC 1.2.1RRP
2A contravention of the rules in TC does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action).1
APER 1.2.1AGRP
3The Statements of Principle contained in APER 2 are rules made 2under section 64A(1)(a) 2of the Act (Rules of conduct). 2
MCOB 10.1.1RRP
This chapter applies to a firm which, under rules elsewhere in MCOB, is required to calculate an annual percentage rate of charge (APR) or is required to use an approach equivalent to that set out in this chapter in calculating a comparative cost measure equivalent to an APR1.
MCOB 2.1.1AGRP
1A payment shortfall is defined in the Handbook as the total sum of periodic payments of capital or interest (or both) that have become due under the terms of a regulated mortgage contract but which, in breach of those terms, remains unpaid. For the purpose of that definition, capital includes any amounts rescheduled over the term of the loan. An amount that has been rescheduled for payment over the remaining term of the mortgage in accordance with the terms of the contract does
CREDS 8.1.2GRP
The purpose of this section is to provide additional rules and guidance relating to reporting requirements that are specific to credit unions. Credit unions also need to comply with the relevant provisions of SUP relating to reporting, including SUP 16.3 and SUP 16.12.
MCOB 5A.2.2GRP
(1) The purpose of MCOB 5A.2.1 R, along with other rules in this chapter, is to ensure that the consumer has received details of the particular MCD regulated mortgage contract for which they have applied, and has had the opportunity to satisfy themselves that it is appropriate for them. (2) The application should identify the type of interest rate, rate of interest and the MCD mortgage lender at the point it is submitted by the consumer.
REC 6.5.2GRP
Where the FCA1 considers that it is unlikely to make a recognition order, it will discuss its concerns with the applicant with a view to enabling the applicant to make changes to its rules or guidance, or other parts of the application. If the FCA1 decides to refuse to make a recognition order, it will follow the procedure set out in section 298 of the Act (Directions and revocation: procedure) (which applies in consequence of section 290(5) of the Act (Recognition orders)) which
PERG 8.30.5GRP
Some software services involve the generation of specific buy, sell or hold signals relating to particular investments. These signals are liable, as a general rule, to be advice for the purposes of article 53(1)1 (as well as financial promotions) given by the person responsible for the provision of the software. The exception to this is where the user of the software is required to use enough control over the setting of parameters and inputting of information for the signals
CASS 1.1.2GRP
The purpose of this chapter is to set out to whom, for what activities, and within what territorial limits the rules, evidential provisions and guidance in CASS apply.
CONC 1.3.1GRP
In CONC (unless otherwise stated in or in relation to a rule), the following matters, among others, of which a firm is aware or ought reasonably to be aware, may indicate that a customer is in financial difficulties:(1) consecutively failing to meet minimum repayments in relation to a credit card or store card; (2) adverse accurate entries on a credit file, which are not in dispute;(3) outstanding county court judgments for non-payment of debt;(4) inability to meet repayments
COLL 3.1.2GRP
This chapter assists in achieving the statutory objective of protecting consumers. In particular:(1) COLL 3.2 (The instrument constituting the fund2) contains requirements about provisions which must be included in the instrument constituting the fund2 to give a similar degree of protection for investors in an ICVC, AUT or ACS;1 and221(2) COLL 3.3 (Units) provides rules and guidance which deal with the classes of units to ensure that investors in each class are treated equall