Related provisions for ICOBS 6A.1.5

1 - 20 of 24 items.

Search Term(s)

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).

MCOB 9.4.12RRP
If the customer requests an illustration showing a term of the customer's choice, that illustration must be issued in addition to the illustration showing the term calculated in accordance with these rules8. The term chosen should be stated in Section 4 of the illustration "What you have told us".88
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
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
MCOB 9.5.3RRP
Table of rules in MCOB 6 replaced by rules in MCOB 9:This table belongs to MCOB 9.5.1 RSubjectRuleRule replaced byModifications to the illustrationMCOB 6.4.4RMCOB 9.5.4R
COLL 12.3.5RRP
An EEA UCITS management company that manages a UCITS scheme must comply with the rules of the FCAHandbook which relate to the constitution and functioning of the UCITS scheme (the fund application rules), as follows:(1) the setting up and authorisation of the UCITS scheme (COLL 1 (Introduction), COLL 2 (Authorised fund applications), COLL 3 (Constitution), COLL 6.5 (Appointment and replacement of the authorised fund manager and the depositary), COLL 6.6 (Powers and duties of
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
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
GEN 4.2.2GRP
There are other pre-contract information requirements outside this chapter, including:(1) for financial promotions, inthe financial promotion rules;55(2) for designated investment business, inCOBS 8 and COBS 8A14 (Client agreements), COBS 5 (Distance Communications), COBS 6 (Information about the firm, its services and remuneration), COBS 13 and 14 (which relate to product information)5 and CASS (Client assets);5(2A) for PRIIPs, a requirement under the PRIIPs Regulation to provide
SYSC 13.3.1AGRP
3The following is a non-exhaustive list of rules and guidance in the Handbook that are relevant to a firm's management of operational risk: (1) COBS contains rules and guidance that can relate to the management of operational risk; for example, COBS 2 (Conduct of business obligations), COBS 4 (Communicating with clients, including financial promotions), COBS 6 (Information about the firm, its services and remuneration), COBS 7 (Insurance distribution2), COBS 9 (Suitability (including
COLL 11.6.13RRP
Where the authorised fund manager of a feeder UCITS gives notice to the FCA under section 251 or section 261Q1 of the Act or regulation 21 of the OEIC Regulations that it intends to wind up the scheme, it must inform:(1) the unitholders of the feeder UCITS; and(2) where notice is given under COLL 11.6.5R (4) (Application for approval by a feeder UCITS where a master UCITS merges or divides), the authorised fund manager of the master UCITS;of its intention without undue delay.[Note:
MCOB 7.1.6RRP
In MCOB 7.6.7 R (Further advances), MCOB 7.6.18 R (Rate switches) and MCOB 7.6.22 R (Addition or removal of a party to the contract), if a customer submits an informal application as his first contact with a firm, the illustration required to be provided to a customer in accordance with those rules must be provided and the transaction must not proceed until the customer has made a formal application confirming that it should proceed.