Related provisions for MCOB 6.1.1

1 - 20 of 22 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).

CASS 1A.2.2RRP
(1) A firm must once every year, and by the time it is required to make a notification in accordance with4CASS 1A.2.9R (4), determine whether it is a CASS large firm, CASS medium firm or a CASS small firm according to the amount of client money or safe custody assets which it holds, using the limits set out in the table in CASS 1A.2.7 R.4(2) For the purpose of determining its ‘CASS firm type’ in accordance with CASS 1A.2.7 R, a firm must:(a) if it currently holds client money
CASS 1A.2.7RRP
CASS firm typesCASS firm typeHighest total amount of client money held during the firm’s last calendar year or as the case may be that it projects that it will hold during the current calendar yearHighest total value of safe custody assets held by the firm during the firm's last calendar year or as the case may be that it projects that it will hold during the current calendar yearCASS large firmmore than £1 billion more than £100 billion CASS medium firman amount equal to or greater
SUP 16.12.26RRP
The applicable reporting frequencies for data items referred to in SUP 16.12.25A R are set out according to the type of firm2 in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.45Data itemFirms' prudential categoryIFPRU 730K firmIFPRU 125K firmIFPRU 50K firmBIPRU firmUK consolidation group or defined liquidity groupFirms other than BIPRU firms or IFPRU investment firmsCOREP/FINREPRefer to EU CRR and applicable
CASS 11.2.1RRP
(1) A CASS debt management firm must, once every year and by the time it is required to make a notification in accordance with CASS 11.2.4 R, determine whether it is a CASS large debt management firm or a CASS small debt management firm according to the amount of client money which it held during the previous year or, if it did not hold client money during the previous year, according to the amount of client money it projects to hold in the following year, in each case using the
CASS 11.2.3RRP
CASS debt management firm typesCASS debt management firm typeHighest total amount of client money held during the CASS debt management firm's last calendar year or as the case may be that it projects that it will hold during the current calendar yearCASS large debt management firmAn amount equal to or greater than £1 millionCASS small debt management firmLess than £1 million
MCOB 5.1.1RRP
Subject to MCOB 5.1.2A R, this 6 chapter applies to a firm in a category listed in column (1) of the table in MCOB 5.1.2 R in accordance with column (2) of that table.6
MCOB 5.1.2RRP
This table belongs to MCOB 5.1.1 R(1) Category of firm(2) Applicable sectionmortgage lendermortgage advisermortgage arrangerwhole chapter except MCOB 5.822home purchase providerhome purchase adviserhome purchase arrangerMCOB 5.1.1 R to MCOB 5.1.3 R, MCOB 5.1.6 R to MCOB 5.1.8 G, MCOB 5.2, MCOB 5.3 and MCOB 5.8.MCOB 5.5 and MCOB 5.6 in accordance with MCOB 5.82reversion providerreversion adviserreversion arrangersee MCOB 9.3 for the application of this chapter3SRB adviserMCOB 5.1.1
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
MCOB 2.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 2.1.2 R in accordance with column (2) of that table.
MCOB 2.1.2RRP
This table belongs to MCOB 2.1.1 R(1) Category of firm(2) Applicable sectionmortgage lender5whole chapter except 5MCOB 2.6A.1 R to MCOB 2.6A.18 G5 and MCOB 2.8.6 G165mortgage administratormortgage advisermortgage arrangerAs for a mortgage lender, except that MCOB 2.6A.-1 R does not apply.1home purchase providerMCOB 2.1,, MCOB 2.5 to5MCOB 2.6, MCOB 2.6A.1 R to MCOB 2.6A.4 G, MCOB 2.6A.7 G to MCOB 2.6A.10 G, MCOB 2.7.4 R to MCOB 2.7.6 R, MCOB 2.7A2, 7MCOB 2.8.6 G and MCOB 2.97651home
MCOB 7.1.1RRP
Subject to MCOB 7.1.2A R, this4 chapter applies to a firm in a category listed in column (1) of the table in MCOB 7.1.2 R in accordance with column (2) of that table.4
MCOB 7.1.2RRP
This table belongs to MCOB 7.1.1R(1) Category of firm(2) Applicable sectionmortgage lenderwhole chapter except MCOB 7.82mortgage administratorMCOB 7.1 - MCOB 7.32and MCOB 7.5 - MCOB 7.7.2mortgage adviser and mortgage arrangerMCOB 7.1 - MCOB 7.32and MCOB 7.6.7 R - MCOB 7.7.4 R22home purchase providerMCOB 7.1.1 R to MCOB 7.1.4 R, MCOB 7.2, MCOB 7.3 and MCOB 7.82home purchase administratorAs for a home purchase provider except MCOB 7.8.1 R and MCOB 7.8.2 G do not apply2home purchase
SYSC 1.1A.1GRP
1The application of this sourcebook is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter.Type of firmApplicable chaptersInsurer, UK ISPV13Chapters 2, 3, 12 5 to 18, 19F.2,14 213, 2211, 23, 24, 25, 26, 2715, 28145Managing agentChapters 2, 3, 11, 12, 18, 19F.2,14 213, 2211, 23, 24, 25, 26, 2715, 2814SocietyChapters 2, 3, 12, 18, 19F.2,14 213, 2211, 23, 24, 25, 26, 2715, 281415Any other SMCR
SYSC 1.1A.1AGRP
6The application of this sourcebook to specific14firms that are not PRA-authorised persons is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter. Type of firmApplicable chaptersFull-scope UK AIFMChapters11 4 to 10, 12, 18, 1219B, 19F.2,14 21, 2211, 2814BIPRU firm (including a third-country BIPRU firm)Chapters 4 to 10, 12, 18, 19C, 19F.2,14 20,10 21, 2211, 2814IFPRU investment firm (including
MCOB 8.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 8.1.2 R in accordance with column (2) of that table.
MCOB 8.1.2RRP
This table belongs to MCOB 8.1.1 R(1) Category of firm(2) Applicable sectionequity release provider44whole chapter except MCOB 8.5A5 and MCOB 8.74, MCOB 8.6A in accordance with MCOB 8.1.2A R5equity release adviser44whole chapter MCOB 8.7 does not apply in relation to a lifetime mortgage45equity release arranger44whole chapter except MCOB 8.5A.5MCOB 8.7 does not apply in relation to a lifetime mortgage45
MCOB 4.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 4.1.2 R in accordance with column (2) of that table.
MCOB 4.1.2RRP
This table belongs to MCOB 4.1.1 R(1) Category of firm(2) Applicable sectionmortgage lenderexcept in relation to lifetime mortgages:6MCOB 4.1 to MCOB 4.4A, 4.6A, MCOB 4.8A in accordance with MCOB 4.1.2A R and 6MCOB 4.946643mortgage adviserexcept in relation to lifetime mortgages:6whole chapter exceptMCOB 4.104mortgage arrangerexcept in relation to lifetime mortgages:6whole chapter except 6MCOB 4.7A6 and MCOB 4.1044home purchase providerMCOB 4.1, MCOB 4.2 and MCOB 4.10 (except
MCOB 9.1.2RRP
This table belongs to MCOB 9.1.1 R(1) Category of firm(2) Applicable sectionmortgage lender1MCOB 9.1 - MCOB 9.4.132 R, MCOB 9.5 - MCOB 9.822mortgage administratorMCOB 9.1, MCOB 9.2, MCOB 9.6 and MCOB 9.82mortgage adviser; mortgage arranger2MCOB 9.1 - MCOB 9.4.132 R2and MCOB 9.8.5 R - MCOB 9.8.10 R222reversion providerMCOB 9.1 - MCOB 9.4.17A R, MCOB 9.4.133 R -MCOB 9.6; MCOB 9.92reversion administratorMCOB 9.1, MCOB 9.6 and MCOB 9.92reversion adviser; reversion arrangerMCOB 9.1
MCOB 6.1.2RRP
This table belongs to MCOB 6.1.1R(1) Category of firm(2) Applicable sectionmortgage lenderwhole chapter except MCOB 6.833home purchase providerMCOB 6.1 (except MCOB 6.1.6 G), MCOB 6.2 and MCOB 6.8reversion providersee MCOB 9.5 for the application of this chapter4SRB agreement providerMCOB 6.1.1 R to MCOB 6.1.3 R, MCOB 6.1.5 R, MCOB 6.2, MCOB 6.3 and MCOB 6.9
SUP 3.1.1RRP
(1) Except as provided for in (2), this chapter applies to:35(a) every firm within a category listed in column (1) of the table in SUP 3.1.2 R; and35(b) the external auditor of such a firm (if appointed under SUP 3.3 or appointed under or as a result of a statutory provision other than in the Act);35(2) This chapter does not apply in relation to a firm’sbenchmark activities.352
SUP 3.1.2RRP
Applicable sections (see SUP 3.1.1 R)This table and the provisions in SUP 3 should be read in conjunction with GEN 2.2.23 R to GEN 2.2.25 G. In particular, the PRA does not apply any of the provisions in SUP 3 in respect of FCA-authorised persons. SUP 3.10 and SUP 3.11 are applied by the FCA only.37(1) Category of firm(2) Sections applicable to the firm(3) Sections applicable to its auditor(1) Authorised professional firm which is required by IPRU(INV) 2.1.2R to comply with chapters
CASS 11.1.4RRP
Subject to CASS 11.1.6 R, only the rules and guidance in the debt management client money chapter listed in the table below apply to CASS small debt management firms.ReferenceRuleCASS 11.1.1 R to CASS 11.1.4 R and CASS 11.1.6 RApplicationCASS 11.2.1 R to CASS 11.2.9 GFirm classificationCASS 11.3.1 R to CASS 11.3.2 R and CASS 11.3.6 RResponsibility for CASS operational oversightCASS 11.4.1 G to CASS 11.4.4 GDefinition of client money and discharge of fiduciary dutyCASS 11.5.1 R
SYSC 4.4.5RRP
A firm must appropriately allocate to one or more individuals, in accordance with the following table, the functions of:(1) dealing with the apportionment of responsibilities under SYSC 4.4.3 R; and(2) overseeing the establishment and maintenance of systems and controls under SYSC 4.1.1 R.1: Firm type2: Allocation of both functions must be to the following individual, if any (see Note):3: Allocation to one or more individuals selected from this column is compulsory if there is
SUP 10A.17.2GRP
If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).
MAR 10.3.1GRP
1The application of this section is set out in the following table:Type of firmApplicable provisionsa UK market operator operating a trading venue MAR 10.3.2G and MAR 10.3.4G a UK firm operating a multilateral trading facility or an OTF and a UK branch of a third country investment firm operating a multilateral trading facility or an OTF MAR 10.3.3R to MAR 10.3.5G