Related provisions for GEN 1.3.3
41 - 51 of 51 items.
1Statements of Principle issued under section 64A(1)(a) of the ActStatement of Principle 1An approved person must act with integrity in carrying out his accountable functions.Statement of Principle 2An approved person must act with due skill, care and diligence in carrying out his accountable functions.Statement of Principle 3An approved person must observe proper standards of market conduct in carrying out his accountable functions.Statement of Principle 4An approved person must deal
Significant changes to, or departures from, a firm's run-off plan are likely to trigger one or more of the firm's obligations to notify the FCA. (See, for example, Principle 11 (Relations with regulators). The guidance in SUP 15.3 (General notification requirements) may also be relevant.)
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.