Related provisions for LR 4.3.1
1 - 3 of 3 items.
4In assessing whether a person is competent to provide, or to continue to provide, sponsor services, the FSA may also take into account, where relevant, the quality of anyguidance or advice on the listing rules or disclosure rules and transparency rules5the person has given in circumstances other than in providing sponsor services.5
A sponsor will generally be regarded as having appropriate 4systems and controls if there are:4(1) clear and effective reporting lines in place (including clear and effective management responsibilities)4;(2) effective systems and controls for the appropriate4 supervision of employees providing sponsor services4;44(3) effective systems and controls to ensure its compliance with all applicable listing rules when performing sponsor services4;(4) [deleted]44(5) effective arrangements