Related provisions for GEN 1.3.3
41 - 48 of 48 items.
(1) In order to discharge its functions under the Act, the FCA1 needs timely and accurate information about firms. The provision of this information on a regular basis enables the FCA1 to build up over time a picture of firms' circumstances and behaviour.777(2) Principle 11 requires a firm to deal with its regulators in an open and cooperative way, and to disclose to the FCA1 appropriately anything relating to the firm of which the FCA1 would reasonably expect notice. The reporting
Subject to PRIN 3.2.4R,8Principles 3, 4 and (in so far as it relates to disclosing to the FCA5) 11 (and this chapter) also:(1) apply to firms10 with respect to the carrying on of unregulated activities (for Principle 3 this is only in a prudential context); and(2) for firms and other persons that are subject to the Principles,10 take into account any activity of other members of a group of which the firm is a member.