Related provisions for CASS 7A.2.3

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DEPP 6.4.2GRP
The criteria for determining whether it is appropriate to issue a public censure rather than impose a financial penalty include those factors that the FCA2 will consider in1 determining the amount of penalty set out in DEPP 6.5 A to DEPP 6.5 D.1 Some particular considerations that may be relevant when the FCA2 determines whether to issue a public censure rather than impose a financial penalty are:122(1) whether or not deterrence may be effectively achieved by issuing a public
MCOB 6.9.11RRP
The SRB agreement provider must keep a record of the written pre-offer document at Stage One and the written offer document for signing at Stage Two for a period of:(1) one year after the end of the fixed term of the tenancy under the regulated sale and rent back agreement; or(2) five years from the date of the disclosures and warnings, written offer documents and cooling-off period notices;whichever is the longer.
COLL 5.2.35GRP
(1) 15A syndicated loan for the purposes of this guidance means a form of loan where a group or syndicate of parties lend money to a third party and, in return, receive interest payments during the life of the debt and a return of principal either at the end of the loan period or amortised over the life of the loan. Such loans are usually arranged through agent banks which may, among other things, maintain a record of the lenders’ interest in the loan and arrange or act as a
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
IPRU-INV 5.1.2RRP

4

OPS firms (see Note 1 below)

Non-OPS Life Offices and Non-OPS Local Authorities

Individuals admitted to membership collectively

Financial resources rules

IPRU-INV 5.2.1R to 5.7.3R

4

No

No

Yes

Individuals whose sole investment business is giving investment advice to institutional or corporate investors

Firms subject to "lead regulator arrangements"

All other firms

Financial resources rules

IPRU-INV 5.2.1R to 5.7.3R

No

No

Yes

(see Note 2 below)

Accounting records rules

IPRU-INV 5.3.1R (1) to 5.3.1R(6)

No

Yes

Yes

Note 1. Firms are referred to the specific compliance reports for OPS firms required by Chapter 16 of the Supervision manual4.

Note 2. A firm subject to "lead regulator arrangements" whereby a body other than the FCA is responsible for its financial regulation shall comply with the corresponding financial resources rules and financial returns rules of that body, and a breach of such rules shall be treated as a breach of the rules of the FCA.

4
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
FEES 4.1.4GRP
(1) The periodic fees for collective investment schemes reflect the estimated costs to the FCA of considering proposals to change regulated collective investment schemes, maintaining up to date records about them, and related policy work.(2) [deleted]828(3) The periodic fees for fee-paying payment service providers, fee-paying electronic money issuers, CBTL firms, data reporting service providers and issuers of regulated covered bonds7are set out in FEES 4 Annex 11R12. This annex