Related provisions for GENPRU 2.2.137
1 - 14 of 14 items.
A firm must not:(1) make or cause to be made unsolicited calls to numbers entered on the register kept under regulation 25 or 26 of the Privacy and Electronic Communications (EC Directive) Regulations 2003 or to a customer who has notified the firm not to call the number being used to call; [Note: paragraph 3.9a of CBG](2) other than where:(a) [deleted]4(b) [deleted]4(c) [deleted]4(ca) (i) the firm has obtained the contact details of a customer (C) in the course of the sale or
(1) In determining the appropriate manner of making prices public, the authorised fund manager should ensure that:(a) a unitholder or potential unitholder can obtain the prices at a reasonable cost;(b) prices are available at reasonable times;(c) publication is consistent with the manner and frequency at which the units are dealt in1;(d) the manner of publication is disclosed in the prospectus; and(e) prices are published in a consistent manner.(2) Examples of what might be deemed
An EEA UCITS management company that manages a UCITS scheme must comply with the rules of the FCAHandbook which relate to the constitution and functioning of the UCITS scheme (the fund application rules), as follows:(1) the setting up and authorisation of the UCITS scheme (COLL 1 (Introduction), COLL 2 (Authorised fund applications), COLL 3 (Constitution), COLL 6.5 (Appointment and replacement of the authorised fund manager and the depositary), COLL 6.6 (Powers and duties of
(1) 21Authorised fund managers of UCITS schemes 25 should bear in mind that where a UCITS scheme25 employs particular investment strategies such as those in (2)21, COBS 4.13.2R (Marketing communications relating to UCITS schemes25) and COBS 4.13.3R (Marketing communications relating to a feeder UCITS) contain additional disclosure requirements in relation to marketing communications that concern those investment strategies.(2) 21Examples of investment strategies that require these