Related provisions for COLL 4.3.1

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SUP 15.3.8GRP
Compliance with Principle 11 includes, but is not limited to, giving the FCA11 notice of:2929(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
When assessing reputational risk, an asset manager should consider issues such as: (1) how poor performance can affect its ability to generate profits;(2) the effect on its financial position should one or more of its key fund managers leave that firm; (3) the effect on its financial position should it lose some of its largest customers; and(4) how poor customer services can affect its financial position; for example, a firm which has outsourced the management of customer accounts