Related provisions for MCOB 9.6.3

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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 16.12.25ARRP
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
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
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
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 5.1.-2GRP
10For 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 guidanceCompetent employees rule, knowledge and competence and segregation11 of functionsSYSC 5.1.2G to SYSC 5.1.5AG, SYSC 5.1.5AAR, SYSC 5.1.5ABR, SYSC 5.1.5ACG to SYSC 5.1.5AEG,11SYSC 5.1.7R, SYSC 5.1.8G to SYSC 5.1.11GCertification
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
SYSC 7.1.-2GRP
19For 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 guidanceRisk assessmentSYSC 7.1.1GRisk management SYSC 7.1.4R, SYSC 7.1.4AGRisk control: remuneration SYSC 7.1.7BG, SYSC 7.1.7BBGRisk control: additional provisions SYSC 7.1.7CG, SYSC 7.1.8G, SYSC 7.1.9R to SYSC 7.1.16RAdditional rules
MCOB 8.3.3RRP
Table of modified cross-references to other rules: This table belongs to MCOB 8.3.1 R.SubjectRule or guidanceReference in rule or guidanceTo be read as a reference to:Additional disclosure for distance mortgage mediation contractsMCOB 4.5MCOB 41MCOB 4 as modified by MCOB 814
SYSC 8.1.-2GRP
7For 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 requirementsSYSC 8.1.1R, SYSC 8.1.2G, SYSC 8.1.3G, SYSC 8.1.12G
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