Related provisions for MCOB 4.11.3B

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

CONC 2.10.8GRP
A firm is likely to have reasonable grounds to suspect a customer may have some form of mental capacity limitation if the firm observes a specific indication (behavioural or otherwise) that could be indicative of some form of limitation of the customer's mental capacity. Examples (amongst others) of indications might include: (1) where a firm has an existing relationship with a customer, the customer making a decision that appears to the firm to be unexpected or out of character;
REC 6.7.11GRP
An English glossary of technical or statistical terms may be sufficient to accompany tables of statistical or financial information.
SUP 10A.12.2GRP

Table: FCA-approved persons forms



Handbook requirement

the relevant Form A

The relevant online form on the FCA and PRA'sonline notification and application system3 or the form in SUP 10A Annex 4D (See Note)


Application to perform controlled functions under the approved persons regime

SUP 10A.13.3 D

Form B

SUP 10A Annex 5R

Notice to withdraw an application to perform controlled functions under the approved persons regime

SUP 10A.13.19 R

Form C

SUP 10A Annex 6R

Notice of ceasing to perform controlled functions

SUP 10A.14.8 R

Form D

SUP 10A Annex 7R

Notification of changes in personal information or application details

SUP 10A.14.15 R

Form E

The relevant online form on the FCA and PRA'sonline notification and application system3 system or the form in SUP 10A Annex 8D (See Note)


Internal transfer of an approved person

SUP 10A.14.4 D

Note: The form in the SUP annex shown is to be used by credit unions, and by other firms only in the event of a failure of the information technology systems used by the FCA. See the relevant "Handbook requirement"

In determining whether or not a person's conduct complies with rule SC4 in COCON 2.2.4R, the factors which the FCA would expect to take into account include:(1) whether it would be reasonable for the individual to assume that the information would be of material significance to the regulator concerned; (2) whether the information related to the individual themselves or to their firm; and(3) whether any decision not to report the matter was taken after reasonable enquiry and analysis
FEES 10.5.4RRP

Table of rules in FEES 4 that also apply in FEES 10.

FEES 4 incorporated into FEES 10



FEES 4.2.4 R

Method of payment








2FEES 4.2.7ER

Modifications for persons becoming subject to periodic fees during the course of a fee year


2FEES 4.2.7FR

Calculating the fee in the firm’s first year of authorisation


2 FEES 4.2.7GR

Calculating fees in the second fee-year where the firm received permission between 1 January and 31 March in its first fee year


2FEES 4.2.7HR to FEES 4.2.7KR

Calculating all other fees in the second and subsequent years of authorisation where a full year of tariff data is not available


FEES 4.2.8 R

How FEES 4.2.7 R applies to an incoming EEA firm or an incoming Treaty firm


FEES 4.2.9 G

Fee payers ceasing to hold relevant status or reducing the scope of their permission after start of relevant period

Reference to column (1) of the table in FEES 4.2.11 R is a reference to FEES 10.1.2 G

FEES 4.3.7 R

Groups of firms

Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R.

FEES 4.3.13 R

Firms applying to cancel or vary permission before start of period

Reference toFEES 4.2.1 R is a reference to FEES 10.2.1 R.

FEES 4.3.17R2

Firms acquiring businesses from other firms

Reference to FEES 4.2.7ER to FEES 4.2.7KR2 is a reference to FEES 10.2.5 R

Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R

FEES 4.4.1 R to FEES 4.4.6 R

Information on which fees are calculated


MAR 1.10.5GRP

Table: Provisions of the Takeover Code conformity with which will be unlikely to3, of itself, amount to market abuse (This table belongs to MAR 1.10.4G3):


Takeover Code provisions:

Disclosure of information which is not generally available


2.1 , 52.7,




521.3, 21.4


530.1, 30.5


Standards of care

2.8 first sentence and note 4

519.1, 19.7

520.6 second sentence

523.1 plus notes



Timing of announcements, documentation and dealings

52.2, 2.6




11.1 note 6 only


521.2 note 4 only



531.6(d), 31.9

533 (in so far as it refers to 31.6(d) and 31.9 only)


Content of announcements

2.4 (a) and (b)


DISP 1.1.13GRP
SUP 15.6 refers to and contains requirements regarding the steps that firms must take to ensure that information provided to the FCA is accurate and complete. Those requirements apply to information submitted to the FCA under this chapter.
(1) 4This paragraph provides guidance on BIPRU 3.4.56A R.(2) For the purposes of BIPRU 3.4.56A R (2), a firm may use the FTSE UK gilt 10-year yield index which the Council of Mortgage Lenders makes available to its members.(3) If a firm offers a variable interest rate on a lifetime mortgage, it should calculate an average interest rate in a way which is consistent with the calculation of the discount rate.(4) To determine the projected number of years to maturity of the exposure,
A firm must update its data sets at least once every three months and must also reassess them whenever market prices are subject to material changes. This implies that volatility adjustments must be computed at least every three months.[Note:BCD Annex VIII Part 3 point 52]
CASS 5.5.24GRP
(1) CASS 5.5.23 R allows a firm with appointed representatives, field representatives and other agents to avoid the need for the representative to forward client money on a daily basis but instead requires a firm to segregate into its client money bank account amounts which it reasonably estimates to be sufficient to cover the amount of client money which the firm expects its representatives or agents to receive and hold over a given period. At the expiry of each such period, the
SUP 18.2.5GRP
Transfers may have both positive and negative effects on individual consumers.A key concern in this regard for each regulator will be to be satisfy itself that each consumer has adequate information and reasonable time within which to determine whether or not he is adversely affected and, if adversely affected, whether to make representations to the court.888