Related provisions for CONC 8.7.7

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

SYSC 18.1.1CGRP
2A firm not referred to in SYSC 18.1.1AR may adopt the rules and guidance in this chapter as best practice. If so, it may tailor its approach in a manner that reflects its size, structure and headcount.
COLL 6.1.3GRP
(1) The authorised fund manager operates the scheme on a day-to-day basis. Its operation is determined by the rules in this chapter, which require appropriate powers in the instrument constituting the fund3 or refer to the need to state the relevant operating procedures in the prospectus of the scheme.3(2) (a) 4The authorised fund manager does not necessarily have to carry out all the activities it is responsible for and may delegate functions to other persons.(b) 4The rules in
LR 1.2.4GRP
If an issuer applies to the FCA to dispense with or modify a listing rule on the basis that it is in severe financial difficulty, the FCA would ordinarily expect the issuer to comply with the conditions in LR 10.8 (to the extent relevant to the particular rule for which the dispensation or modification is sought). In particular, the FCA would expect the issuer to comply with those conditions that are directed at demonstrating that it is in severe financial difficulty.
FEES 4.3.17RRP
(1) 21This rule applies if: (a) a firm (A)(i) (A) acquires all or a part of the business of another firm (B), whether by merger, acquisition of goodwill or otherwise; and(B) would be required to pay a periodic fee in the fee year in which the acquisition takes place; or(ii) becomes authorised or registered as a result of another firm’s (B) simple change of legal status (as defined in FEES 3 Annex 1R Part 6); and(b) had that acquisition or simple change of legal status (or any
REC 6.6.1GRP
An ROIE1 is required to notify the FCA1 of certain events and give information to it on a regular basis and when certain specified events occur. Section 295 of the Act (Notification: overseas investment exchanges and overseas clearing houses) requires each ROIE1 to provide the FCA1 with a report (at least once a year) which contains:111(1) a statement as to whether any events have occurred which are likely to affect the FCA's assessment of whether it is satisfied that the ROIE
EG 3.11.6RP
1Some themes or issues are common to any discussion about the potential use or value of a report to the FCA. These include: (1) to what extent the FCA will be able to rely on the report in any subsequent enforcement proceedings; (2) to what extent the FCA will have access to the underlying evidence or information that was relied upon in producing the report; (3) where legal privilege or other professional confidentiality is claimed over any material gathered or generated in the
MCOB 2A.2.4RRP
An MCD mortgage lender may engage in tying practices where it can demonstrate to the FCA that the tied products or categories of product offered, on terms and conditions similar to each other, which are not made available separately, result in a clear benefit to the consumer taking due account of the availability and the prices of the relevant products offered on the market. This rule only applies to products which are marketed after 20 March 2014.[Note: article 12(3) of the
ICOBS 4.6.1GRP
1The rules in this section:(1) address the risk that a consumer believes that a firm's remuneration for its pure protection service is included in its adviser charge, where this is not the case; and(2) enable the consumer to evaluate a firm'sadviser charge in the light of any additional remuneration received by the firm for the pure protection service it provides.
EG App 3.1.3RP
3Under the 2000 Act the FCA has powers to investigate concerns including: • regulatory concerns about authorised firms and individuals employed by them;suspected contraventions of the Market Abuse Regulation or any supplementary market abuse legislation (as defined in Part 8 of the Act)5252• suspected misleading statements and practices under s.397 of the 2000 Act and Part 7 of the Financial Services Act 2012;• suspected insiderdealing under of Part V of the Criminal Justice
FEES 6.7.6RRP
If a firm ceases to be a participant firm or carry out activities within one or more classes54 part way through a financial year6 of the compensation scheme:44(1) it will remain liable for any unpaid levies which the FSCS has already made on the firm; and41(2) the FSCS may make one or more levies4 upon it (which may be before or after the firm5 has ceased to be a participant firm or carry out activities within one or more classes5,4 but must be before it ceases to be an authorised
DTR 1B.1.6RRP
The rules in DTR 7.2.2 R, 7.2.3R, 7.2.7R and 7.2.8AR5 do not apply to an issuer which has not issued shares which are admitted to trading unless it has issued shares which are traded on a UK MTF6.[Note: article 20(4) of the Accounting Directive4]
SYSC 4.3.2AGRP
2Other firms should take account of the written reports rule (SYSC 4.3.2 R) as if it were guidance (and as if "should" appeared in that rule5 instead of "must") as explained in SYSC 1 Annex 1 3.3 R(1)5.3
ICOBS 2.2.1RRP
In addition to the general application rule for this sourcebook, this section applies to the communication, or approval for communication, to a person in the United Kingdom of a financial promotion of a non-investment insurance contract unless it can lawfully be communicated by an unauthorised communicator without approval.
SUP 12.7.1RRP
(1) 6This rule applies to a firm which intends to appoint an appointed representative or FCA registered tied agent.2063664(2) 20[deleted](3) A firm to which this rule applies 20 must complete and submit the form in SUP 12 Annex 3 to be received by the FCA no later than 30 days before the commencement of regulated activities by the proposed appointed representative20.6(4) 20[deleted]
BIPRU 9.5.1RRP
(1) An originator of a synthetic securitisation may calculate risk weighted exposure amounts1, and, as relevant, expected loss amounts, for the securitised exposures in accordance with BIPRU 9.5.3 R and BIPRU 9.5.4 R, if either of the following conditions is fulfilled:1(a) 1significant credit risk is considered to have been transferred to third parties, either through funded or unfunded credit protection; or(b) 1the originator applies a 1250% risk weight to all securitisation
PERG 4.5.7GRP
Arranging a regulated mortgage contract (or contract variation) to which the arranger is to be a party is excluded from both article 25A(1) and (2) by article 28A of the Regulated Activities Order (Arranging contracts to which the arranger is a party). As a result, a person cannot both be entering into a regulated mortgage contract and arranging a regulated mortgage contract under article 25A as regards a particular regulated mortgage contract. This means that a direct sale by
SUP 11.2.2GRP
The rules in SUP 11.4 to SUP 11.6 are aimed at ensuring that theappropriate regulator receives the information that it needs to fulfil6 its responsibility to monitor and, in some cases, give prior approval to firms' controllers.2136
COLL 7.1.2RRP

This table belongs to COLL 7.1.1 R.

Rule

ICVC

ACD

Any other directors of an ICVC

Depositary of an ICVC

3Authorised fund manager of an AUT or ACS

3

3Depositary of an AUT or ACS

3

7.1.1

x

x

x

x

x

x

7.1.3

x

x

x

x

x

x

57.2.-3*

x

x

x

x

57.2.-2*

x

x

x

x

57.2.-1*

x

x

x

x

7.2.1

x

x

x

x

x

7.3.1

x

x

x

x

7.3.2

x

x

x

x

7.3.3

x

x

x

7.3.4

x

x

x

7.3.5

x

x

7.3.6

x

x

x

7.3.7

x

x

x

x

7.3.8

x

x

7.3.9

x

7.3.10

x

x

x

x

7.3.11

x

7.3.12

x

x

7.3.13 (1)

x

x

7.3.13 (2)

x

x

7.4*3

x

x

37.4A*

x

x

7.5

x

x

x

x

x

7.6

x

x

x

x

x2

27.7

x

x

x

x

x

x

67.8

x

x

x

x

x

x

3Notes:

(1)

"x" means "applies", but not every paragraph in every rule will necessarily apply.

(2)

*COLL 7.4 does not apply to the authorised contractual scheme manager or depositary of an ACS.

(3)

*COLL 7.4A does not apply to the manager or depositary of an AUT.

5(4)

COLL 7.2.-3R to 7.2.-1R apply only to the authorised fund manager and depositary of a non-UCITS retail scheme.

6(5)

COLL 7.8 (Side pockets) applies only to UCITS schemes and non-UCITS retail schemes in which the authorised fund manager intends to establish (or has established) a side pocket class. The rules in COLL 7.8 do not apply to a regulated money market fund.

APER 3.1.2GRP
The Code of Practice for Approved Persons5 is general guidance. The status and effect of general guidance is described in the Readers' Guide. In particular, guidance:5(1) represents the FCA’s view and does not bind the courts or third parties;5(2) is not binding on approved persons, nor does it have ‘evidential’ effect;5(3) need not be followed to achieve compliance with the Statements of Principle, nor is there any presumption that departing from guidance is indicative of a
SUP 10A.14.21GRP
(1) If, in relation to a firm which has completed the relevant Form A (SUP 10C Annex 3D7), any of the details relating to arrangements and FCA controlled functions are to change, the firm must notify the FCA on Form D (SUP 10C Annex 6R5). (2) The notification under (1) must be made as soon as reasonably practicable after the firm becomes aware of the proposed change.(3) This also applies in relation to an FCA controlled function for which an application was made using Form E.(4)