Related provisions for SUP App 3.3.8

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SYSC 19A.1.1RRP
(1) 1The Remuneration Code applies to:33(a) [deleted]63(b) [deleted]63(c) an IFPRU investment firm;6 and73(d) 3an overseas firm that would be an IFPRU investment firm if it had been a UK domestic firm, had carried on all its business in the UK and had obtained whatever authorisations for doing so as are required under the Act.8(2) In relation to a 3firm that falls under (1)(d), the Remuneration Code applies only in relation to activities carried on from an establishment in the
SYSC 19A.1.2GRP
Part 2 of SYSC 1 Annex 1 provides for the application of SYSC 4.1.1 R (General Requirements). In particular, and subject to the provisions on group risk systems and controls requirements in SYSC 12, this means that:(1) in relation to what the Remuneration Code applies to, it:(a) applies in relation to regulated activities, activities that constitute dealing in investments as principal (disregarding the exclusion in article 15 of the Regulated Activities Order (Absence of holding
COLL 12.1.1RRP
(1) 1COLL 12.1 (Introduction) - COLL 12.3 (EEA UCITS management companies) apply to:(a) a UK UCITS management company that operates an EEA UCITS scheme; and(b) (i) an EEA UCITS management company that acts as:(A) (A) the authorised fund manager2 of an AUT or ACS;2 or2(B) (B) the ACD of an ICVC;(ii) any other director of an ICVC; and (iii) an ICVC;that is a UCITS scheme.(c) COLL 12.4 (UCITS product passport) applies in accordance with COLL 12.4.1 R (Application).
COLL 12.1.2GRP
(1) This chapter contains rules and guidance relating to the operation of the management company passport under the UCITS Directive and explains how the passporting regime applies to:(a) a UK UCITS management company that operates an EEA UCITS scheme; and (b) an EEA UCITS management company that acts as the authorised fund manager2 of an AUT, ACS2 or ICVC that is a UCITS scheme;22whether from a branch it establishes in an EEA State other than its Home State or under the freedom
SUP 10C.4.2RRP
SUP 10C Annex 1 (What functions apply to what type of firm) sets out which of the functions in SUP 10C.4.3R apply to which kind of firm.4
REC 4.2D.10GRP
[deleted]76
REC 4.2D.11GRP
[deleted]76
MCOB 2.7A.1RRP
1This section applies to a firm carrying on an electronic commerce activity from an establishment in the United Kingdom, with or for a person in the United Kingdom3, in relation to a home finance transaction.
MCOB 2.7A.2RRP
A firm must make at least the following information easily, directly and permanently accessible to the recipients of the information society services it provides:(1) its name;(2) the geographic address at which it is established;(3) the details of the firm, including its e-mail address, which allow it to be contacted rapidly and communicated with in a direct and effective manner;(4) an appropriate statutory status disclosure statement (GEN 4 Annex 1 R), together with a statement
PERG 4.4.1GRP
Article 61(3)(a) of the Regulated Activities Order defines a regulated mortgage contract as a contract which, at the time it is entered into, satisfies the following conditions:(1) the contract is one where a lender provides credit to an individual or trustees (the 'borrower');(2) the contract provides for the obligation of the borrower to repay to be secured by a mortgage on land, where “land” for this purpose means:855(a) in relation to a contract entered into before IP completion
PERG 4.4.5GRP
The condition set out in PERG 4.4.1G (2) means that a regulated mortgage contract must be secured on land, where "land" for this purpose means:855(1) in relation to a contract entered into before IP completion day9, land in the United Kingdom or, if the contract was entered into on or or after 21 March 2016, within the territory of an EEA State; and8(2) in relation to a contract entered into on or after IP completion day9, land in the United Kingdom.8 Contracts which involve taking
PERG 4.4.16GRP
5A mortgage has a wide meaning for the purpose of the definition of a regulated mortgage contract. It includes:(1) a legal mortgage;(2) equitable security;(3) (in Scotland) a heritable security; (4) [deleted]8
SUP 15.13.7GRP
The MCD Order requires notification to be given immediately. The FCA expects CBTL firms to act with all due urgency in notifying it of any relevant event, and it is unlikely that the FCA will regard delay in excess of 5 working days as complying with the CBTL firm's obligations.
INSPRU 1.1.5RRP
[deleted]109
INSPRU 1.1.6GRP
[deleted]108
DISP 1.2.2BRRP
[deleted]1412
DISP 1.2.5AGRP
[deleted]147
COLL 6.11.1RRP
(1) 1This section applies to an authorised fund manager of a UCITS scheme.2(2) [deleted]2
COLL 6.11.2RRP
(1) An authorised fund manager of a UCITS scheme 2 must establish and maintain a permanent risk management function.(2) The function referred to in (1) must be hierarchically and functionally independent from operating units, except where such independence would not be appropriate and proportionate in view of the nature, scale and complexity of the authorised fund manager’s 2 business and of each scheme it manages.(3) The authorised fund manager 2 must be able to demonstrate that:(a)
SUP 10C.1.4RRP
This chapter does not apply to an SMCR firm if and in so far as the question of whether a person is fit and proper to perform a particular function in relation to that firm is reserved to an authority in a country or territory outside the United Kingdom as contemplated by section 59(8) of the Act. This rule has effect to the extent that, and for as long as, section 59(8) of the Act remains in effect under the standstill direction (as it relates to that section) as defined in the
SUP 10C.1.5GRP
[deleted]8
ICOBS 6.2.3RRP
(1) A firm which has its head office in the European Economic Area2 must inform a customer, before any commitment is entered into, of the state2 in which the head office or, where appropriate, the branch with which the contract is to be concluded, is situated.1111(2) Any documents issued to the customer must convey the information required by this rule.[Note: article 184(1) of the Solvency II Directive1]1
ICOBS 6.2.4RRP
A firm which has its head office in the European Economic Area2 must ensure that the contract or any other document granting cover, together with the insurance proposal where it is binding upon the customer, states1 the address of the head office, or, where appropriate, of the branch of the firm1 which grants the cover.1111[Note: article 184(2) of the Solvency II Directive1]1
BIPRU 12.7.3RRP
Subject to BIPRU 12.7.4R, for the purpose of BIPRU 12.7.2R (1), a firm may include only1 a debt security which is:(1) issued by the central government or central bank of an EEA State; or(2) issued by the central government or central bank of Canada, the Commonwealth of Australia, Japan, Switzerland or the United States of America.
BIPRU 12.7.5RRP
Subject to BIPRU 12.7.6R, for the purpose of BIPRU 12.7.2R (3) a firm may include only1 reserves in the form of sight deposits held by the firm with the central bank of a third country.5
COLL 7.2.1RRP
(1) The authorised fund manager may, with the prior agreement of the depositary, and must without delay, if the depositary so requires, temporarily1 suspend the issue, cancellation, sale and redemption of units in an authorised fund (referred to in this chapter as "dealings in units"), where due to exceptional circumstances it is in the interest of all the unitholders in the authorised fund. Where an authorised fund is a regulated money market fund, the authorised fund manager
COLL 7.2.1ARRP
2Where:(1) an authorised fund manager of a UCITS scheme which is a master UCITS or a qualifying master scheme3temporarily suspends the issue, cancellation, sale and redemption of its units, whether at its own initiative or at the request of the FCA; or(2) an operator of an EEA UCITS scheme which is a master UCITS or a qualifying master scheme3temporarily suspends the issue, cancellation, sale or redemption of its units, whether at its own initiative or at the request of its Home
DISP 1.3.1RRP
Effective and transparent procedures for the reasonable and prompt handling of complaints must be established, implemented and maintained by a respondent.13[Note:10 article 6(1) of the UCITS implementing Directive]5
DISP 1.3.1BRRP
5A UK UCITS management company must ensure that the procedures it establishes under DISP 1.3.1 R for the reasonable and prompt handling of complaints require that13unitholders are allowed to file complaints in any of the official languages of the Home State of the UCITS scheme or a scheme which, immediately before IP completion day15, was an13EEA UCITS scheme or of any EEA State to which a notification was13 transmitted by the competent authority of the scheme’sHome State in accordance
CONC 2.8.1RRP
This section applies to a firm carrying on an electronic commerce activity from an establishment in the UK with or for a person in the UK2.
CONC 2.8.2RRP
A firm must make at least the following information easily, directly and permanently accessible to the recipients of the information society services it provides:(1) its name;(2) the geographic address at which it is established;(3) the details of the firm, including its e-mail address, which allow it to be contacted rapidly and communicated with in a direct and effective manner;(4) an appropriate statutory status disclosure statement (GEN 4 Annex 1 R), together with a statement
PERG 9.6.5GRP
Certain matters are to be disregarded in determining whether the investment condition is satisfied. Section 236(4) of the Act states that, for these purposes, no account is to be taken of any actual or potential redemption or repurchase of shares or securities under:(1) Chapters 3 to 71 of Part 181 of the Companies Act 2006;1or1(2) [deleted]11(3) [deleted]2(4) provisions in force in a country or territory 2 which the Treasury has, by order, designated as corresponding provisions
PERG 9.6.6GRP
[deleted]2
SYSC 18.3.6RRP
This rule applies to an EEA SMCR banking firm3 and an overseas SMCR banking firm5.32(1) A person subject to this rule (‘P’) 2must, in the manner described in (2), communicate to its UK-based employees that they may disclose reportable concerns to the PRA or the FCA and the methods for doing so. P 2must make clear that:(a) reporting to the PRA or to the FCA is not conditional on a report first being made using P’s 2internal arrangements; (b) it is possible to report using P’s 2internal
SYSC 18.3.10RRP
(1) This rule applies where an EEA SMCR banking firm3 or an overseas SMCR banking firm5 has:3(a) a branch in the United Kingdom; and(b) a group entity which is a UK SMCR banking firm3.(2) An EEA SMCR banking firm3 and an overseas SMCR banking firm5 must, in the manner described in (3), communicate to the UK-based employees of its UKbranch:3(a) the whistleblowing arrangements of the group entity that is a UK SMCR banking firm3; and(b) indicate that these arrangements may be used
REC 2.7.1AUKRP

Schedule to the Recognition Requirements Regulations, Paragraph 7B

2(1)

The [UK RIE] must make transparent and non-discriminatory rules, based on objective criteria, governing access to, or membership of, its facilities.

(2)

In particular those rules must specify the obligations for users or members of its facilities arising from -

(a)

the constitution and administration of the [UK RIE];

(b)

rules relating to transactions on its trading venues4;

(c)

its professional standards for staff of any investment firm or qualifying credit institution5 having access to or membership of a financial market operated by the [UK RIE];

(d)

conditions established under sub-paragraph (3)(c) for access to or membership of a trading venue4 operated by the [UK RIE] by persons other than investment firms or qualifying credit institutions5; and

(e)

the rules and procedures for clearing and settlement of transactions concluded on a trading venue4 operated by the [UK RIE].

(3)

4

[Note: see paragraph 9ZC below, replacing paragraph 7B(3)]4

(4)

[deleted]5

4

by the competent authority of another EEA State (including a branch established in the United Kingdom of such a firm or institution) to have direct or remote access to or membership of, any trading venue4 operated by the [UK RIE] on the same terms as a UK firm.

(5)

The [UK RIE] must make arrangements regularly to provide the [FCA]3 with a list of users or members of its facilities.

3

(6)

This paragraph is without prejudice to the generality of paragraph 4.

REC 2.7.1BUKRP

Schedule to the Recognition Requirements Regulations, Paragraph 7C

2(1)

This paragraph applies to [a UK RIE] which provides central counterparty, clearing or settlement facilities.

(2)

The [UK RIE] must make transparent and non-discriminatory rules based on objective criteria, governing access to those facilities.

(3)

[deleted] 5

(4)

The [UK RIE] may refuse access to those facilities on legitimate commercial grounds.