Related provisions for SYSC 22.7.6

1 - 3 of 3 items.
Results filter

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).

SYSC 22.7.7GRP
(1) If a full scope regulatory reference firm (A):(a) appoints someone (P) to a specified significant-harm function or an approved person position;(b) obtains a reference from an ex-employer (B); and(c) later wishes to: (i) appoint P to another specified significant-harm function or approved person position; or(ii) keep P in the same specified significant-harm function but make a change in P’s role of the type described in SYSC 5.2.17G (major changes in role), whether that change
SYSC 22.7.8GRP
If:(1) a firm (A) appoints someone (P) to a specified significant-harm function or approved person position;(2) A obtains a reference from an ex-employer (B); (3) later P transfers to a specified significant-harm function or an approved person position with a full scope regulatory reference firm in A’s group (C); (4) B’s reference is:(a) addressed to all firms in A’s group; or(b) otherwise drafted so that it is clear that C may rely on it; and(5) C does not need to ask for the