Related provisions for DISP 1.1.20

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SUP 16.12.11RRP
The applicable data items referred to in SUP 16.12.4 R are set out according to firm type in the table below:Description of data item45Firms' prudential category and applicable data items(note 1)IFPRU investment firms and BIPRU firmsFirmsother thanBIPRU firms or IFPRU investment firmsIFPRUBIPRUIPRU(INV)Chapter 3IPRU(INV)Chapter 5IPRU(INV)Chapter 9IPRU(INV)Chapter 1338Solvency statementNo standard format (note 11)No standard format (note 20)No standard format (note 11)38Balance
SUP 16.12.15RRP
The applicable data items referred to in SUP 16.12.4 R are set out76 according to firm type76 in the table below: 48Description of data itemFirms' prudential category and applicable data items (note 1)IFPRU investment firms and BIPRU firmsFirms other than BIPRU firms or IFPRU investment firmsIFPRUBIPRUIPRU(INV) Chapter 3IPRU(INV) Chapter 5IPRU(INV) Chapter 9IPRU(INV) Chapter 11 (collective portfolio management firms only)IPRU(INV) Chapter 1248IPRU(INV) Chapter 1338Solvency statementNo
SUP 16.12.18BRRP
The applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.46Description of data itemData item (note 1)FrequencySubmission deadlineBalance SheetSections A.1 and A.2 MLARQuarterly20
SUP 16.12.18CRRP
58Additional applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below for a firm carrying on home finance administration or home finance providing activities in relation to second charge regulated mortgage contracts. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant
SUP 16.12.19ARRP
2The applicable data items80 referred to in SUP 16.12.4 R are set out according to type of firm8 in the table below:888Description of data item11Firms’76 prudential category and applicable data items76 (note 1)IPRU(INV) Chapter 3IPRU(INV) Chapter 5IPRU(INV) Chapter 9IPRU(INV)Chapter 1343Solvency statement (note 6)5No standard format543Balance sheetFSA02911FSA02911FSA029FSA029 or Section A RMAR (note 7)114311Income statementFSA03011FSA03011FSA030FSA030 or Section B RMAR (note
SUP 16.12.22ARRP
2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:45Description ofData itemFirms' prudential category and applicable data item (note 1)IFPRUBIPRU firmExempt CAD firmssubject toIPRU(INV)Chapter 13Firms(other thanexempt CAD firms) subject toIPRU(INV)Chapter 13Firmsthat are also in one or more ofRAGs1 to 6 and not subject toIPRU(INV)Chapter 13Solvency statementNo standard format (note 11)Balance SheetFSA001/FINREP (Notes
SUP 16.12.25ARRP
2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:45Description of data itemFirms' prudential category and applicable data item(note 1)IFPRU investment firms and BIPRU firmsFirmsother thanBIPRU firms or IFPRU investment firmsIFPRUBIPRUIPRU(INV)Chapter 3IPRU(INV)Chapter 5IPRU(INV)Chapter 9IPRU(INV)Chapter 1338Solvency statement (note 11)No standard format38Balance sheetFSA001/FINREP (Notes 2 and 30)FSA001 (Note 2)FSA029FSA029FSA029Section
SUP 16.12.29CRRP
47The applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.Description of data itemData item (note 1)FrequencySubmission deadlineAnnual revenue from credit-related regulated activities
SUP 16.12.31RRP
2Table of data items from an authorised professional firmReportReturn (note 1)Frequency (Note 4)24Due dateAdequate information relating to the following activities:RMAR (Note 3)Half yearly (quarterly for sections A to E for larger firms, subject to Note 3 exemptions) (note 2)For half yearly report: 30 business days after period end For quarterly report: 30 business days after quarter end(1) insurance mediation activity;(2) mortgage mediation activity;(3) retail investment activity;(4)
FEES 4.4.9DRP
3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444
FEES 3.2.7RRP
Table of application, notification, vetting and other fees payable to the FCA3231Part 1: Application, notification and vetting fees3131(1) Fee payer(2) Fee payable (£)37Due date(a) Any applicant for Part 4A permission (including an incoming firm applying for top-up permission) whose fee is not payable pursuant to sub- paragraph (zza)52 of this table26(1) Unless (2),41 (3) or (4)41 applies, in1 respect of a particular application, the highest of the tariffs set out in FEES 3 Annex
REC 4.8.5GRP
The procedures laid down in section 298 of the Act and (for RAPs) regulation 5 of the RAP regulations3are summarised, with the FCA's4 guidance about the actions it proposes to take in following these procedures, in the tables4 at REC 4.8.9 G and REC 4.8.10 G respectively4.44
REC 4.8.9GRP
3Key steps in the section 298 procedure4The FCA4 will:4Guidance(1)give written notice to theRIE4 (or applicant);4The notice will state why the FCA4 intends to take the action it proposes to take, and include an invitation to make representations, and the period within which representations should be made (unless subsequently extended by the FCA)4.4(2)44receive representations from the RIE or applicant concerned;44The FCA4 will not usually consider oral representations without
REC 4.8.10GRP
4For RAPs, key steps in the regulation 5 procedureThe FCA will:Guidance(1)give written notice to the RAP (or applicant);The notice will state why the FCA intends to take the action it proposes to take, and include an invitation to make representations, and the date by which representations should be made.(2)take such steps as it considers reasonably practicable to bring the notice to the attention of the members of the RAP or of the applicant, as the case may be;The FCA will also
MCOB 9.3.1RRP
(1) MCOB 5.1 to MCOB 5.5 (with the modifications stated in MCOB 9.3.2 R to MCOB 9.3.12 R) apply to a firm where the home finance transaction is an equity release transaction, except that those provisions that by their nature are only relevant to regulated mortgage contracts do not apply to home reversion plans (see MCOB 9.1.2A G).33(2) The table in MCOB 9.3.2 R shows how the relevant rules and guidance in MCOB 5 must be modified by replacing the cross-references with the relevant
MCOB 9.3.2RRP
Table of modified cross-references to other rules.This table belongs to MCOB 9.3.1 R.SubjectRule or guidanceReference in rule or guidanceTo be read as a reference to:VariationsMCOB 5.1.3R(2)MCOB 7MCOB 7 as modified by MCOB 9Part of loan not an equity release transaction22MCOB 5.1.9GMCOB 5.6.6R(2)MCOB 9.4.6R(2)Waiver of provisionsMCOB 5.1.10GMCOB 5.6MCOB 9.4.PurposeMCOB 5.2.1GMCOB 5MCOB 5 as modified by MCOB 9Applying for a lifetime mortgage22MCOB 5.3.2GMCOB 5.6.26R and MCOB 5.6.27R
MCOB 9.3.3RRP
Table of rules in MCOB 5 replaced by rules in MCOB 9: This table belongs to MCOB 9.3.1RSubjectRule(s) or guidanceRule(s) or guidance replaced by:Accuracy of the illustrationMCOB 5.4.2R - MCOB 5.4.7GMCOB 9.3.5R - MCOB 9.3.10G4Providing anillustrationMCOB 5.5.15R - MCOB 9.3.12R - Content ofillustrationMCOB 5.6MCOB 9.4
SUP App 3.9.2GRP
The tables provide a general indication of the investments and activities specified in the Regulated Activities Order that may correspond to categories provided for in the CRD6, 1MiFID3, AIFMD7, the UCITS Directive, the MCD9 or the Insurance Mediation Directive1. The tables do not provide definitive guidance as to whether a firm is carrying on an activity that is capable of being passported, nor do the tables take account of exceptions that remove the effect of articles. Whether
MCOB 9.6.2RRP
Table of modified cross-references to other rules:This table belongs to MCOB 9.6.1R.SubjectRule or guidanceReference in rule or guidanceTo be read as a reference to:ApplicationMCOB 7.1.4RMCOB 7.6.7R - MCOB 7.7.4RMCOB 7.6.7R - MCOB 7.6.33G as modified by MCOB 9.8.5R - 9.8.9RApplicationMCOB 7.1.5RMCOB 7.5 - MCOB 7.7.4RMCOB 7.5 -MCOB 7.6.33G as modified by MCOB 9.8Information in more than one documentMCOB 7.3.3RMCOB 7MCOB 7 as modified by MCOB 9Frequency of statementsMCOB 7.5.6GMCOB
MCOB 9.6.3RRP
Table of rules in MCOB 7 replaced by rules in this chapter:This table belongs to MCOB 9.6.1R.SubjectRule or guidanceRule replaced by:Information at start of contractMCOB 7.4MCOB 9.7Content of statementMCOB 5.3RMCOB 9.8.1RFrequency of statementsMCOB 7.5.5RMCOB 9.8.2REvent-driven informationMCOB 7.6.1RMCOB 9.8.3RRelease of additional borrowingMCOB 7.6.6GMCOB 9.8.4GFurther advancesMCOB 7.6.9RMCOB 9.8.5GFurther advancesMCOB 7.6.16RMCOB 9.8.7RAddition or removal of party to contractMCOB
SYSC 6.1.-2GRP
16For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and(2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceAdequate policy and proceduresSYSC 6.1.1R, SYSC 6.1.1AGCompliance functionSYSC 6.1.4-AG, SYSC 6.1.7RInternal auditSYSC 6.2.2GFinancial crimeSYSC 6.3.1R to SYSC 6.3.11G
SYSC 4.1.-2GRP
21For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and (2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceGeneral requirements SYSC 4.1.1R, SYSC 4.1.1CR, SYSC 4.1.2R, SYSC 4.1.2AARBusiness continuitySYSC 4.1.6R, SYSC 4.1.7R, SYSC 4.1.8GAudit committeeSYSC 4.1.11G, SYSC 4.1.13G, SYSC 4.1.14GPersons who effectively direct the businessSYSC
SYSC 19C.3.6GRP
(1) In the FCA's view: (a) a firm's staff includes its employees; (b) a person who performs a significant influence function for, or is a senior manager of, a firm would normally be expected to be part of the firm'sBIPRU Remuneration Code staff; (c) the table in (2) provides a non-exhaustive list of examples of key positions that should, subject to (d), be within a firm's definition of staff who are risk takers; (d) firms should consider how the examples in the table in (2) apply
MCOB 9.5.1RRP
(1) MCOB 6.1 to MCOB 6.6 (with the modifications stated in MCOB 9.5.2 R to MCOB 9.5.4 R) apply to an equity release provider where the home finance transaction is an equity release transaction, except that those provisions that by their nature are only relevant to regulated mortgage contracts do not apply to home reversion plans (see MCOB 9.1.2A G).3(2) The table in MCOB 9.5.2 R shows how the relevant rules and guidance in MCOB 6 must be modified by replacing the cross-references
MCOB 9.5.2RRP
Table of modified cross-references to other rules:This table belongs to MCOB 9.5.1 R.SubjectRule or guidanceReference in rule or guidanceTo be read as a reference to:Application: What? MCOB 6.1.5RMCOB 6MCOB 6 as modified by MCOB 9.5Content of offer documentMCOB 6.1.6GMCOB 5.6MCOB 9.4PurposeMCOB 6.2.1GMCOB 6MCOB 6 as modified by MCOB 9.5GeneralMCOB 6.3.2RRecordsMCOB 6.4.3RModifications to the illustrationMCOB 6.4.5GMCOB 6.4.4R(5)(b)MCOB 9.5.4R(6)(b)Modifications to the illustrationMCOB
SYSC 22.2.2RRP
(1) A firm (B) must provide a reference to another firm (A) as soon as reasonably practicable if:(a) A is considering:(i) permitting or appointing someone (P) to perform a controlled function; or(ii) issuing a certificate under the certification regime for P; or(iii) appointing P to another position in the table in SYSC 22.2.3R; (as explained in more detail in the table in SYSC 22.2.3R);(b) A makes a request, for a reference or other information in respect of P from B, in B’s
SYSC 4.6.14GRP
(1) The guidance below applies to management responsibilities maps for branches maintained by third-country relevant authorised persons, subject to the modifications in (2):(a) SYSC 4.5.11G to SYSC 4.5.12G (Guidance about management responsibilities maps);(b) SYSC 4.5.15G (Single document);(c) SYSC 4.5.16G to SYSC 4.5.17G (Purpose of SYSC 4 Annex 1G (The main business activities and functions of a relevant authorised person)); (d) SYSC 4.5.18G to SYSC 4.5.20G (Contents of SYSC