Related provisions for ICOBS 5.3.2B
1 - 5 of 5 items.
A1firm is required to keep orderly records of its business and internal organisation, including all services and transactions undertaken by it.1 The records may be expected to include the client information a firm obtains to assess appropriateness and should be adequate to indicate what the assessment was. 11
Location of recognition requirements and guidanceRecognition Requirements RegulationsSubjectSection in REC 2Regulation 6Method of satisfying recognition requirements2.2Part I of the ScheduleUK RIE recognition requirementsParagraph 1Financial resources2.3Paragraph 2Suitability2.4Paragraph 3Systems and controls2.5Paragraphs 4(1) and 4(2)(aa)22General safeguards for investors 2.6Paragraph 4(2)(a)Access to facilities2.7Paragraph 4(2)(b)Proper markets2.12Paragraph 4(2)(c)Availability