Related provisions for SYSC 18.1.1C

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BIPRU 12.2.13GRP
BIPRU 12.7 contains more detailed rules and guidance about the type of assets that an ILAS BIPRU firm is permitted to hold in order to satisfy BIPRU 12.2.8R.
SUP 15.11.2GRP
COCON sets out rules under section 64A of the Act4and guidance on those rules for SMCR firms5.4
SUP 15.11.15RRP
A credit union3 must make each notification pursuant to2SUP 15.11.13R (notifications about3section 64C of the Act relating to conduct rules staff other than SMF managers4) in accordance with the rules and guidance in SUP 15.7, using Form H as set out in SUP 15 Annex 7R3.3
REC 6.7.13GRP
ROIEs 1may apply to the FCA1 for a waiver of any of the notification rules. The procedure is the same as that for applications from UK recognised bodies. Guidance on the procedure is given in REC 3.3.1
SUP 15.3.8GRP
Compliance with Principle 11 includes, but is not limited to, giving the FCA11 notice of:3535(1) any proposed restructuring, reorganisation or business expansion which could have a significant impact on the firm's risk profile or resources, including, but not limited to:(a) setting up a new undertaking within a firm'sgroup, or a new branch (whether in the United Kingdom or overseas); or (b) commencing the provision of cross border services into a new territory; or(c) commencing
GEN 2.2.5GRP
Chapter 6 of the Reader's Guide contains an explanation of the significance of the status letters R, E, G, D, UK, EU, P and C6, and includes further information on Handbook provisions, including6 evidential provisions.16
GEN 2.2.10GRP
The Interim Prudential sourcebooks (IPRU) have individual arrangements for defined terms and each contains rules or guidance on its own arrangements. In respect of those sourcebooks, reliance should not be placed on the definitions which appear in the Glossary unless otherwise indicated.
COLL 5.2.20RRP
(1) A transaction in a derivative must:(a) be in an approved derivative; or(b) be one which complies with COLL 5.2.23 R (OTC transactions in derivatives).(2) The underlying of a transaction in a derivative must consist of any one or more of the following to which the scheme is dedicated:(a) transferable securities permitted under COLL 5.2.8 R (3)(a) to (c) and COLL 5.2.8 R (3)(e)7;(b) approved money-market instruments7 permitted underCOLL 5.2.8 R (3)(a) to COLL 5.2.8 R (3)(d)7;77(c)
CASS 7.10.7CRRP
4Once an election made by a firm under CASS 7.10.7AR becomes effective, and until it ceases to be effective:(1) the firm must treat all the money referred to under CASS 7.10.7AR(1) in accordance with the election; and (2) for the purposes of (1), this chapter applies to the firm in the same way that it applies to a firm that receives and holds money in the course of or in connection with its designated investment business, except that:(a) CASS 7.10.10R will not apply to the money
SUP 9.1.3GRP
A person may need to ask the FCA for individual guidance on how the rules and general guidance in the Handbook, the Act or other regulatory requirements apply in their particular circumstances. This chapter describes how a person may do this. Section 139A of the Act gives the FCA the power to give guidance consisting of such information and advice as it considers appropriate.
SUP 9.1.4GRP
The FCA may at times also consider it appropriate to give a firm individual guidance on its own initiative, for example on how it considers a firm should comply with a rule. SUP 9.3 describes when and how the FCA will seek to do this.
REC 3.1.2GRP
The notification rules for overseas recognised bodies are set out in REC 6. The guidance set out at REC 3.3 in relation to the waiving and modification of notification rules also applies to the notification rules in this chapter and to the notification rules in REC 6.
SUP 9.2.1GRP
Requests for individual guidance may be made in writing or orally. Requests for individual guidance in relation to the Part 6 rules should be made in writing other than in circumstances of exceptional urgency or in the case of a request from a sponsor in relation to the provision of a sponsor service. 2If oral queries raise complex or significant issues, the FCA will normally expect the details of the request to be confirmed in writing. Simple requests for guidance may often be
SUP 9.2.6GRP
The FCA will always need sufficient information and time before it can properly evaluate the situation and respond to a request. If a request is time-critical, the person or its professional adviser should make this clear. The more notice a person can give the FCA, the more likely it is that the FCA will be able to meet the person's timetable. However, the time taken to respond will necessarily depend upon the complexity and novelty of the issues involved. In making a request,
PERG 9.1.3GRP
This guidance is issued under section 139A of the Act (Guidance). It is designed to throw light on particular aspects of regulatory requirements, not to be an exhaustive description of a person's obligations. If a person acts in line with the guidance in the circumstances it contemplates, the FCA will proceed on the footing that the person has complied with aspects of the requirement to which the guidance relates. Rights conferred on third parties cannot be affected by guidance
PERG 9.1.4GRP
The only kind of body corporate of an open-ended kind that may currently be formed under the law of the United Kingdom is one that is authorised by the FCA. A person intending to form an open-ended body corporate that has its head office in Great Britain should refer to the Open-ended Investment Companies Regulations 2001 (SI 2001/1228). Bodies corporate formed under these Regulations are referred to in the Handbook as investment companies with variable capital (or ' ICVCs ').
SUP 9.3.1GRP
Business and internal control risks vary from firm to firm, according to the nature and complexity of the business. The FCA's assessment of these risks is reflected in how its rules apply to different categories of firm as well as in the use of its other regulatory tools. One of the tools the FCA has available is to give a firm individual guidance on the application of the requirements or standards under the regulatory system in the firm's particular circumstances.
SUP 9.3.2GRP
The FCA6 may give individual guidance to a firm on its own initiative if it considers it appropriate to do so. For example:6(1) the FCA6 may consider that general guidance in the Handbook does not appropriately fit a firm's particular circumstances (which may be permanent or temporary) and therefore decide to give additional individual guidance to the firm;6(2) some of the FCA's6 requirements are expressed in general terms; however, there may be times when the FCA6 will wish to
MCOB 9.6.1RRP
(1) 3(a) MCOB 7.1 to MCOB 7.3, MCOB 7.5 and MCOB 7.6 (as modified by this section) apply to a firm where the home finance transaction is a lifetime mortgage.3(b) MCOB 7.1 to MCOB 7.3 (as modified by this section) apply to a firm where the home finance transaction is a home reversion plan, except that those provisions that by their nature are only relevant to regulated mortgage contracts do not apply to home reversion plans (see MCOB 9.1.2A G).3(2) The table in MCOB 9.6.2 R shows
MCOB 9.6.2RRP

Table of modified cross-references to other rules:

This table belongs to MCOB 9.6.1R.

1

Subject

Rule or guidance

Reference in rule or guidance

To be read as a reference to:

Application

MCOB 7.1.4R

MCOB 7.6.7R - MCOB 7.7.4R

MCOB 7.6.7R - MCOB 7.6.33G as modified by MCOB 9.8.5R - 9.8.9R

Application

MCOB 7.1.5R

MCOB 7.5 - MCOB 7.7.4R

MCOB 7.5 -MCOB 7.6.33G as modified by MCOB 9.8

Information in more than one document

MCOB 7.3.3R

MCOB 7

MCOB 7 as modified by MCOB 9

Frequency of statements

MCOB 7.5.6G

MCOB 7.5.3R(2)

MCOB 9.8.1R(2)

Annual statement - additional content

MCOB 7.5.9G

MCOB 7.5.3R(2)(b)

MCOB 9.8.1R

Further advances

MCOB 7.6.7R

MCOB 5

MCOB 9.4

Further advances

MCOB 7.6.10G

MCOB 7.6.9R(10

MCOB 9.8.5R(1)

Further advances

MCOB 7.6.10G

MCOB 5.6.34

MCOB 9.4.114R

Further advances

MCOB 7.6.11G

MCOB 7.6.9R(3) and (4)

MCOB 9.8.5R(3)

Further advances

MCOB 7.6.11G(2)

MCOB 5.6.40R

MCOB 9.4.37R

Further advances

MCOB 7.6.12G

MCOB 7.6.9R(3)

MCOB 9.8.5R(3)

Further advances

MCOB 7.6.13R

MCOB 5.6.25R(2)(a)

MCOB 9.4.24R(4)(a)

Further advances

MCOB 7.6.13R

MCOB 7.6.9R(3)(b)

MCOB 9.8.5R(3)(b)

Further advances

MCOB 7.6.14R

MCOB 5

MCOB 9

Rate switches

MCOB 7.6.20R

MCOB 5

MCOB 9

Rate switches

MCOB 7.6.20R

MCOB 5

MCOB 9

Addition or removal of party to contract

MCOB 7.6.22R

MCOB 5

MCOB 9

Addition or removal of party to contract

MCOB 7.6.25R

MCOB 5

MCOB 9

Changes to payments

MCOB 7.6.29R

MCOB 7.6.28R

MCOB 9.8.9R or MCOB 9.8.10R

Changes to payments

MCOB 7.6.30R

MCOB 7.6.28R

MCOB 9.8.9R or MCOB 9.8.10R

Use of illustrations

MCOB 7.6.31R

MCOB 7.6.28R

MCOB 9.8.9R or MCOB 9.8.10R

Use of illustrations

MCOB 7.6.31R

MCOB 5

MCOB 9

Use of illustrations

MCOB 7.6.32R

MCOB 7.6.28R

MCOB 9.8.9R or MCOB 9.8.10R

Use of illustrations

MCOB 7.6.32R

MCOB 7.6.18R and MCOB 7.6.22R

MCOB 7.6.18R and MCOB 7.6.22R as modified by MCOB 9

Simultaneous requests

MCOB 7.6.33G

MCOB 7.6.18R and MCOB 7.6.22R

MCOB 7.6.18R and MCOB 7.6.22R as modified by MCOB 9

Simultaneous requests

MCOB 7.6.33G

MCOB 5

MCOB 9
MCOB 9.6.3RRP

Table of rules in MCOB 7 replaced by rules in this chapter:

This table belongs to MCOB 9.6.1R.

Subject

Rule or guidance

Rule replaced by:

Information at start of contract

MCOB 7.4

MCOB 9.7

Content of statement

MCOB 5.3R

MCOB 9.8.1R

Frequency of statements

MCOB 7.5.5R

MCOB 9.8.2R

Event-driven information

MCOB 7.6.1R

MCOB 9.8.3R

Release of additional borrowing

MCOB 7.6.6G

MCOB 9.8.4G

Further advances

MCOB 7.6.9R

MCOB 9.8.5G

Further advances

MCOB 7.6.16R

MCOB 9.8.7R

Addition or removal of party to contract

MCOB 7.6.27R

MCOB 9.8.8R

Changes to payments

MCOB 7.6.28R

MCOB 9.8.9R and MCOB 9.8
MCOB 9.3.1RRP
(1) MCOB 5.1 to MCOB 5.5 (with the modifications stated in MCOB 9.3.2 R to MCOB 9.3.12 R) apply to a firm where the home finance transaction is an equity release transaction, except that those provisions that by their nature are only relevant to regulated mortgage contracts do not apply to home reversion plans (see MCOB 9.1.2A G).33(2) The table in MCOB 9.3.2 R shows how the relevant rules and guidance in MCOB 5 must be modified by replacing the cross-references with the relevant
MCOB 9.3.2RRP

Table of modified cross-references to other rules.

This table belongs to MCOB 9.3.1 R.

Subject

Rule or guidance

Reference in rule or guidance

To be read as a reference to:

Variations

MCOB 5.1.3R(2)

MCOB 7

MCOB 7 as modified by MCOB 9

Part of loan not an equity release transaction2

2

MCOB 5.1.9G

MCOB 5.6.6R(2)

MCOB 9.4.6R(2)

Waiver of provisions

MCOB 5.1.10G

MCOB 5.6

MCOB 9.4.

Purpose

MCOB 5.2.1G

MCOB 5

MCOB 5 as modified by MCOB 9

Applying for a lifetime mortgage2

2

MCOB 5.3.2G

MCOB 5.6.26R and MCOB 5.6.27R

MCOB 9.4.26R and MCOB 9.4.27R

4Messages to be given when providing information on equity release transactions

MCOB 5.4.18AR (1)

MCOB 5.4.18AR (1)(a)

MCOB 4.7A.2 R

MCOB 4.4A.1R (1), MCOB 4.4A.2 R and MCOB 4.4A.4R (1)

MCOB 8.5A.2 R

MCOB 4.4A.1R (1), MCOB 4.4A.2 R and MCOB 4.4A.4R (1), each as applied by MCOB 8.3.1 R in modified form

4Messages to be given when customer requests an execution-only sale

MCOB 5.4.18BR (1)

MCOB 4.8A.14R (1) to MCOB 4.8A.14R (3)

MCOB 8.6A.4R (2)

4Guidance relevant to messages given to customer

MCOB 5.4.18C G

MCOB 5 Annex 1

MCOB 9 Annex 1 R for a lifetime mortgage; MCOB 9 Annex 2 R for a home reversion plan.

Tied products

MCOB 5.4.24G

MCOB 5.6.74R

MCOB 9.4.73R or MCOB 9.4.160R3

4Provision of illustrations: timing

MCOB 5.5.1 R (2)(e)

MCOB 4.8A.14R (1), (2) or (3)

MCOB 8.6A.4R (2)

Issue of offer document in place of illustration

MCOB 5.5.3G

MCOB 6.4 and MCOB 6.6

MCOB 6.4 and MCOB 6.6 as modified by MCOB 9

Customer's credit record

MCOB 5.5.16R

MCOB 5.5.15R(4)

MCOB 9.3.12R(3)
MCOB 9.3.3RRP

Table of rules in MCOB 5 replaced by rules in MCOB 9: This table belongs to MCOB 9.3.1R

Subject

Rule(s) or guidance

Rule(s) or guidance replaced by:

Accuracy of the illustration

MCOB 5.4.2R - MCOB 5.4.7G

MCOB 9.3.5R - MCOB 9.3.10G4

Providing anillustration

MCOB 5.5.15R -

MCOB 9.3.12R -

Content ofillustration

MCOB 5.6

MCOB 9.4
MCOB 8.3.1RRP
(1) 3(a) 3Subject to (c),4MCOB 4.1 to MCOB 4.6A4 (with the modifications stated in MCOB 8.3.2B R to4MCOB 8.3.4 R) apply to a firm where the home finance transaction is a lifetime mortgage.343(b) MCOB 4.1 to MCOB 4.4A4 (with the modifications stated inMCOB 8.3.2B R to4MCOB 8.3.4 R) apply to a firm where the home finance transaction is a home reversion plan, except for those provisions that by their nature are only relevant to regulated mortgage contracts.34(c) MCOB 4.6A applies
MCOB 8.3.1AGRP
3The rules and guidance that are not relevant to home reversion plans are those related, for example, to interest rates, APR, higher lending charge, mortgage credit cards, multi-part mortgages and foreign currency mortgages.
MCOB 8.3.3RRP

Table of modified cross-references to other rules: This table belongs to MCOB 8.3.1 R.

Subject

Rule or guidance

Reference in rule or guidance

To be read as a reference to:

Additional disclosure for distance mortgage mediation contracts

MCOB 4.5

MCOB 41

MCOB 4 as modified by MCOB 814