Related provisions for CONC 8.7.7

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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
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
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
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]
FEES 5.8.2RRP
(1) 1This rule deals with the calculation of:(a) a firm'sgeneral levy in the 12 months ending on the 31 March in which it obtains permission, or was authorised under the Payment Services Regulations or the Electronic Money Regulations4or had its permission and/or payment services activities extended (relevant permissions)3 and the following 12 months ending on the 31 March;3 and33(b) the tariff base for the industry blocks that relate to each of the relevant permissions3.3(2)
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.

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)
EG 5.5.4RP
2There is no set form for a stage 1 letter though it will always explain the nature of the misconduct, the FCA's view on the sanction3, and the period within which the FCA expects any settlement discussions to be concluded. In some cases, a draft statutory notice setting out the alleged rule breaches and the proposed sanction3 may form part of the letter, to convey the substance of the case team’s concerns and reasons for arriving at a particular level of sanction3. The FCA will
MCOB 5A.4.4GRP
In the circumstances in MCOB 5A.4.2R (2), the rule in MCOB 5A.4.1R (1) will mean that the consumer may not make an application for an MCD regulated mortgage contract, as an ESIS has not been provided.
CONC 5A.2.7RRP
The amount of credit provided under an agreement for high-cost short-term credit for the purposes of CONC 5A.2.3 R (Initial cost cap) is the amount of credit outstanding on the day in question under the agreement, disregarding for the purposes of that rule the effect of the borrower discharging all or part of the borrower's indebtedness in accordance with section 94 of the CCA (right to complete payments ahead of time) by repayment of credit before the date provided for in the
DISP 1.2.2ARRP
If an MCD credit intermediary has, before or at the point of sale, provided an eligible complainant with appropriate information in a durable medium about their internal procedures for the reasonable and prompt handling of complaints pursuant to another rule, the MCD credit intermediary need not refer to the availability of that information again under DISP 1.2.1R(2)(b).9
EG 8.3.4RP
1The FCA will consider the full circumstances of each case when it decides whether a2 variation of Part 4A permission under section 55J of the Act3 or an imposition of a requirement under section 55L of the Act3 is appropriate. The following is a non-exhaustive list of factors the FCA may consider. (1) The extent of any loss, or risk of loss, or other adverse effect on consumers. The more serious the loss or potential loss or other adverse effect, the more likely it is that the
SUP 3.4.1GRP
The appropriate regulator is concerned to ensure that the auditor of a firm has the necessary skill and experience to audit the business of the firm to which he has been appointed. This section sets out the appropriate regulator's rules and guidance aimed at achieving this.