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Status: You are viewing the version of the handbook as on 2005-06-30.

COB Sch 2 Notification requirements

COB Sch 2.1G

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