Related provisions for SUP 11.5.2
1 - 20 of 41 items.
(1) When considering how to notify the FCA under SUP 10C.14.18R or SUP 10C.14.22R, a firm should have regard to the urgency and significance of a matter. If appropriate, the firm should also notify its usual supervisory contact at the FCA by telephone or by other prompt means of communication, before submitting a written notification.(2) Oral notifications should be given directly to the firm's usual supervisory contact at the FCA. An oral notification left with another person
(1) A person who has submitted a section 178 notice10under SUP 11.3.7 D must notify the appropriate regulator15 immediately if he becomes aware, or has information that reasonably suggests, that he has or may have provided the appropriate regulator15 with information which was or may have been false, misleading, incomplete or inaccurate, or has or may have changed, in a material particular. The notification must include:101515(a) details of the information which is or may be false,
Schedule to the Recognition Requirements Regulations, paragraph 32(1)The [UK RIE] must ensure that the systems and controls used in the performance of its [relevant functions] are adequate, and appropriate for the scale and nature of its business.(2)Sub-paragraph (1) applies in particular to systems and controls concerning -(a)the transmission of information;(b)the assessment, mitigation and management of risks to the performance of the [UK RIE'srelevant functions];(c)the effecting
The Principles1 IntegrityA firm must conduct its business with integrity.2 Skill, care and diligenceA firm must conduct its business with due skill, care and diligence.3 Management and controlA firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.4 Financial prudenceA firm must maintain adequate financial resources.5 Market conductA firm must observe proper standards of market conduct.6 Customers'