Related provisions for MCOB 4.11.3B
121 - 140 of 166 items.
A firm must ensure that investors have access to all materially relevant data determined as at the date of the securitisation and, where appropriate due to the nature of the securitisation, thereafter. These data must include:(1) the credit quality, performance, cashflows and supporting collateral of the securitisation exposures; and(2) information necessary to conduct comprehensive and well-informed stress tests on the cashflows and collateral values supporting the securitisation
Table: Provisions of the Takeover Code conformity with which will be unlikely to3, of itself, amount to market abuse (This table belongs to MAR 1.10.4G3):
11Takeover Code provisions: |
|
Disclosure of information which is not generally available |
1(a) 2.1 , 52.7, 52.11, 8 20.1 521.3, 21.4 528.1 530.1, 30.5 555555 |
Standards of care |
2.8 first sentence and note 4 519.1, 19.7 520.6 second sentence 523.1 plus notes 28.1 55 |
Timing of announcements, documentation and dealings |
52.2, 2.6 5.4 6.2(b) 7.1 11.1 note 6 only 17.1 521.2 note 4 only 524.1(a) 525.1(a) 531.6(d), 31.9 533 (in so far as it refers to 31.6(d) and 31.9 only) 555555 |
Content of announcements |
2.4 (a) and (b) 19.31 |
(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
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
10When determining the adequacy of its internal controls, a firm should consider both the potential risks that might hinder the achievement of the objectives listed in SYSC 14.1.28 G, and the extent to which it needs to control these risks. More specifically, this should normally include consideration of:(1) the appropriateness of its reporting and communication lines (see SYSC 3.2.2 G);(2) how the delegation or contracting of functions or activities to employees, appointed representatives
For the purposes of CASS 6.7.4E(1)(a), a firm may use any available means to determine the correct contact details for the relevant client, including: (1) telephoning the client;(2) searching internal and/or public records;(3) media advertising;(4) mortality screening; and(5) using credit reference agencies or tracing agents.
A firm is likely to have reasonable grounds to suspect a customer may have some form of mental capacity limitation if the firm observes a specific indication (behavioural or otherwise) that could be indicative of some form of limitation of the customer's mental capacity. Examples (amongst others) of indications might include: (1) where a firm has an existing relationship with a customer, the customer making a decision that appears to the firm to be unexpected or out of character;
This chapter does not apply to2 telephone lines which:(1) enable payment service users to request information to which paragraph (2) of regulation 562 of the Payment Services Regulations applies; or(2) relate to the termination of a framework contract, unless:(a) the framework contract was concluded either for a fixed period of more than 12 months or for an indefinite period; and(b) at least 12 months of the framework contract have expired.
2A firm must ensure that the SRB agreement seller realises that there are other possible sources of information on the appropriate rental value for the property available to him, including local estate agents, local newspapers and on-line sites which carry advertisements for the rental of residential property in the customer's locality.
(1) 4The effect of LR 9.8.6R (1) is that a listed company is required to set out a 'snapshot' of the total interests of a director and his or her connected persons, as at the end of the period under review (including certain information to update it as at a date not more than a month before the date of the notice of the annual general meeting). The interests that need to be set out are limited to those in respect of which transactions fall to be notified under the notification
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
1A common platform firm4 must ensure that the management body defines, oversees and is accountable for the implementation of governance arrangements that ensure effective and prudent management of the firm, including the segregation of duties in the organisation and the prevention of conflicts of interest, and in a manner that promotes the integrity of the market and the interests of clients4. The firm must ensure that the management body:(1) has overall responsibility for the
Timely and accurate disclosure of information to the market is a key obligation of listed companies. For the purposes of Listing Principle 13, a listed company should have adequate systems and controls to be able to:3313(1) ensure that it can properly identify information which requires disclosure under the listing rules, disclosure requirements4, transparency rules or corporate governance rules3 in a timely manner; and3(2) ensure that any information identified under (1) is properly
In having regard to the cost implications of using the section 166 power (Reports by skilled persons) or the section 166A power (Appointment of skilled person to collect and update information) 6alternative options (such as visits) or other powers, the FCA5 will take into account relevant factors, including:66(1) whether the firm may derive some benefit from the work carried out and recommendations made by the skilled person, for instance a better understanding of its business
When considering an application for approval as a sponsor the FCA may:(1) carry out any enquiries and request any further information which it considers appropriate, including consulting other regulators;(2) request that the applicant or its specified representative answer questions and explain any matter the FCA considers relevant to the application; and6(3) take into account any information which it considers appropriate in relation to the application.22(4) [deleted]22[Note:
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
(1) Subject to (1A), a 11firm other than a credit union wishing to cancel its Part 4A permission, must apply online at the appropriate regulator website using the form specified on the online notification and application system16.9112412129(1A) An FCA-authorised person wishing to cancel its Part 4A permission which covers only credit-related regulated activities must submit any form, notice or application by using the form in SUP 6 Annex 6 and submitting it in the way set out