Related provisions for PERG 5.16.1

61 - 69 of 69 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

COBS 18.11.2RRP
COBS does not apply to an authorised professional firm with respect to its non-mainstream regulated activities, except that:(1) the fair, clear and not misleading rule applies;(2) the financial promotion rules apply as modified below;(3) the rules in the following parts of COBS which implemented4 the IDD apply in relation to insurance distribution activities:3(a) COBS 2.1.1R, COBS 2.2A and COBS 2.3A (Conduct of business obligations);3(b) COBS 4 (Communicating with clients, including
PERG 5.6.15GRP
In some cases, a person may make arrangements to enter into a contract of insurance as policyholder on its own behalf and also arrange that another person become a policyholder under the same contract of insurance. If so, the person should be aware that the effect of the narrower exclusion in article 28 as part of implementation of the IDD1 is that they1 may be arranging on behalf of the other policyholder. This may be relevant, for example, to a company which arranges insurance
GEN 4.3.1BGRP
14An example for GEN 4.3.1A G would be where a letter covers business for which the FCA is the competent authority under the the UK provisions which implemented11IDD10 and under the UK provisions which implemented11MiFID.
PERG 2.7.8AGRP
The activity of assisting in the administration and performance of a contract of insurance is a regulated activity that is identified in the IDD28. Further guidance on this activity is in PERG 5.7 (The regulated activities28: assisting in the administration and performance of a contract of insurance).
CASS 7.10.11GRP
For a firm whose business is not governed by the IDD10, it is possible to 'opt out' on a one-way basis. However, in order to maintain a comparable regime to that applying to MiFID business, all 'MiFID type' business undertaken outside the scope of MiFID should comply with the client money rules or be 'opted out' on a two-way basis.
SYSC 10.1.8RRP
(1) If arrangements made by a firm under SYSC 10.1.7 R9 are not sufficient to ensure, with reasonable confidence, that risks of damage to the interests of a client will be prevented, the firm must clearly disclose the following9 to the client before undertaking business for the client:93(a) the general nature or sources of conflicts of interest, or both; and9(b) the steps taken to mitigate those risks.9(2) The disclosure must:(a) be made in a durable medium; 9(b) clearly state
PERG 2.9.18GRP
[deleted]20