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FCA Handbook
COB
COB Sch 2 Notification requirements

COB Sch 2 Notification requirements

COB Sch 2.1G01/05/2005

Handbook reference	Matter to be notified	Contents of notification	Trigger event	Time allowed
COB 5.3.26 R	pension opt-out and pension transfer transactions	in writing - number of pension opt-outs and pension transfer transactions the firm has arranged in previous 6 monthly period	6-month intervals	as soon as reasonably practicable 1
COB 5.3.26 R	execution only pension opt-out and pension transfer transactions	in writing - number of transactions arranged if they exceed 1% of all the firm's pension opt-outs or pension transfers arranged during that quarter	3-month intervals	as soon as reasonably practicable 1
COB 5.3.26 R	pension opt-out and pension transfer transactions	in writing - number of transactions arranged against the firm's advice if they exceed 1% of all the firm's pension opt-outs or pension transfers arranged during that quarter	3-month intervals	as soon as reasonably practicable 1
COB 5.3.26 R	pension opt-outs and pension transfer transactions	in writing - the number of any transactions arranged on a correspondence - only basis by the firm during that quarter	3-month intervals	as soon as reasonably practicable 1
COB 5.7.16 E, paragraph 9	failure to follow actuarial advice	reasons for not following actuarial advice and alternative assumptions the firm plans to use	where a firm does not follow its actuary's advice	as soon as reasonably practicable
COB 6.2.22 R (2)	notice of election	in writing - election that scheme will comply with those provisions of COB 6.2 that relate to the simplified prospectus - date from which election is to take effect	election	as soon as reasonably practicable3
COB 6.2.46(4)	simplified prospectus and subsequent amendments	in writing - required contents of simplified prospectus	commencement of sale of units	as soon as reasonably practicable3
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COB 11.6.6 R	delegation of regulated activity by a trustee firm to a PTP	the trustee firm must notify the FSA within 14 days of it first delegating any regulated activity to a PTP and the notification must include the identity of the PTP	upon first delegation of regulated activity	14 days2