Related provisions for SYSC 22.2.7

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SYSC 22.7.3GRP
The Glossary definition of employer covers more than just a conventional employer and so it may not always be obvious who a person’semployer is. Therefore a3firm appointing someone to a position that requires a reference may have to get the employee’s help in identifying their previous employers.2
SYSC 22.7.5GRP
(1) SYSC 22.2.1R (Obligation to obtain references3) applies even if the employer has already got a reference for the employee. For example:2(a) a3firm should have a reference whenever it renews the certificate of a certification employee; and2(b) changing jobs within the same firm3 may require a reference. 2(2) However, the firm3 does not necessarily need to obtain a new reference each time (a) or (b) above occurs. That is because an existing reference will very often still be
COCON 1.1.2RRP
Table: To whom does COCON apply? 99Persons to whom COCON appliesComments9(1) An SMF manager.9 (2) An employee (“P”) of a an SMCR firm12 who:9 (a) performs the function of an SMF manager;9 (b) is not an approved person to perform the function in question; and9 (c) is required to be an approved person at the time P performs that function.9 (3) An employee of an SMCR firm12 who would be performing an FCA-designated senior management function12 but for SUP 10C.3.13R (The 12-week
COCON 1.1.10RRP
(1) This rule applies to members of a firm’sconduct rules staff apart from conduct rules staff in COCON 1.1.9R. 6522(2) Subject to (3), COCON only applies to the conduct of persons to whom this rule applies (as set out in (1)) if that conduct:6(a) 6is performed from an establishment maintained in the United Kingdom by the SMCR firm; or12(b) 6involves dealing with a client of the firm in the United Kingdom from an establishment overseas.5(3) 6Paragraph (2)(b) only applies to a
SYSC 22.2.4RRP
If at any time:(1) a3firm (B) has given a reference under SYSC 22.2.2R to another firm (A) about an employee or ex-employee of B (P);2(2) B was also an SMCR firm2 when it gave the reference in (1);(3) either of the following applies:(a) B is aware of matters or circumstances that mean that if B had been aware of them when giving that reference, this chapter would have required B to draft the reference differently; or(b) the following applies:(i) B has since giving the reference
SYSC 22.6.3GRP
(1) If a firm has taken disciplinary action of the type referred to in question (F) in Part One of SYSC 22 Annex 1R (Template for regulatory references given by SMCR firms2 and disclosure requirements) against an employee and is asked to give a reference about that employee, the firm should (if it has not already done so) consider whether the basis on which it took that action amounts to a breach of any individual conduct requirements covered by question (F). (2) If the firm decides
SYSC 22.6.4GRP
(1) SYSC 22.2.2R(1) to (3) may require a3firm to disclose information that goes beyond the mandatory minimum information in Part One of SYSC 22 Annex 1R (Template for regulatory references given by SMCR firms2 and disclosure requirements).2(2) This may mean, for instance, that a firm should in some cases disclose a conclusion that an employee or former employee has breached COCON or APER where that conclusion was reached outside the time limits in Part One of SYSC 22 Annex 1R
SYSC 22.8.7GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 22.8A.4G]3
SYSC 22.8.9GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 22.8A.6G]3
SYSC 22.9.5GRP
(1) SYSC 22.9.1R applies to keeping records created before the date this chapter came into force as well as ones created afterwards.(2) A3firm does not breach the requirements of this chapter by failing to include something in a reference or by failing to have records2 because it destroyed the relevant records before the date this chapter came into force in accordance with the record keeping requirements applicable to it at the time of destruction.2(3) (1) also applies to records
SYSC 22.5.12GRP
(1) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 22.8.10G(2)]3(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 22.8.10G(1)]32