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COBS 4 Annex 1 Risk summaries
As Published: 2022
…well. A good rule of thumb is not to invest more than 10% of your money in high-risk investments . [ https://www.fca.org.uk/investsmart/5-questions-ask-you-invest …Non-legal changes document 2018
As Published: 2018
…ontent/Final-report-Guidelines-systems-and-controls-automated-trading- environment-trading-platforms https://www.esma.europa.eu/sites/default/files/library/2015/11/esma_2012_122_en.pdf; and - certain aspect…Non-legal changes 2016
As Published: 2016
…ts only of one or more forms. Forms are to be found through the following address: Supervision forms https://www.handbook.fca.org.uk/form …Annex 1 Common terms
As Published: 2018
…e responsible for supervising their activities. For more information on this, see the FCA’s website: https://www.fca.org.uk/firms/money-laundering-terrorist-financing/registration …RFCCBS App 1.1 Expressions covered by further guidance
As Published: 2023
…de Canary Wharf London E14 5HS Email: SensitiveBusinessN@fca.org.uk Application form available from: https://www.fca.org.uk/firms/firm-details/sensitive-business-names …List of Non-Legal Clarifications in the Handbook
As Published: 2021
… [Note: The FCA has also issued non-Handbook guidance for firms who advise on pension transfers. See https://www.fca.org.uk/publication/finalised-guidance/fg21-3.pdf] …Financial Crime Guide Part 1
As Published: 2016
…k/static/documents/fsa-aml-tool-factsheet.pdf • The FCA’s one-minute guide on AML for smaller firms: https://www.fca.org.uk/firms/financial-crime/money-laundering-terrorist-financing …PRR 1.1 Preliminary
As Published: 2019
…(4) these rules ; (5) [deleted] 3 (6) [deleted] 3 (7) the ESMA PR Prospectus Questions and Answers ( https://www.handbook.fca.org.uk/L3G/PR/esma31-62-1258_prospectus_regulation_qas.pdf …FCG 7.4 Sources of further information
As Published: 2018
FCG 7.4.1 13/12/2018 1 To find out more on financial sanctions, see: • OFSI’s website: https://www.gov.uk/government/organisations/office-of-financial-sanctions-implementation …FCG 4.4 Sources of further information
As Published: 2018
…re about what FCA is doing about fraud, see: • Details of the FCA’s Information from Lenders scheme: https://www.fca.org.uk/firms/fraud/report-mortgage-fraud-lenders …FCG 3.4 Sources of further information
As Published: 2018
…imeagency.gov.uk • The UK National risk assessment of money laundering and terrorist financing 2017- https://www.gov.uk/government/publications/national-risk-assessment-of-money-laundering-and-terrorist-fin…SUP 16 Annex 27F Notes on completing REP017 Payments Fraud Report
As Published: 2018
…e intended beneficiary. (See CIFAS paper, Table 2 Unlawful obtaining or disclosure of personal data: https://www2.cipd.co.uk/NR/rdonlyres/710B0AB0-ED44-4BD7-A527-B9AC29B28343/0/empfraud.pdf …COBS 19.10 Drawdown, investment pathways and cash warnings
…s only) refer the retail client to the MoneyHelper investment pathways comparison tool, available on https://www.moneyhelper.org.uk/pathways …LR App 1.1 Relevant definitions
As Published: 2005
…blished in October 2021 61 by the Task Force on Climate-related Financial Disclosures, available at: https://www.fsb-tcfd.org. …FCG 6.4 Sources of further information
As Published: 2018
…nt commercial organisations can put into place to prevent persons associated with them from bribing: https://www.justice.gov.uk/downloads/legislation/bribery-act-2010-guidance.pdf …CONC 5B.4 Policies and procedures for establishing benchmarked prices
As Published: 2019
… Competition and Markets Authority. [ Note: for example, see: Competition Law Risk a Short Guide at: https://www.gov.uk/government/publications/competition-law-risk-a-short-guide …COLL 5.4 Stock lending
As Published: 2007
…ompetent authorities and UCITS management companies on ETFs and other UCITS issues (ESMA 2012/832) 7 https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-832en_guidelines_on_etfs_and_other_uc…RFCCBS 3.3 Process
As Published: 2023
…ed. When submitting paper copies, applicants need to include two signed copies of the rules. [ Note: https://www.fca.org.uk/your-fca/documents/forms/registering-a-new-industrial-and-provident-society-forms …Non-legal changes document 2019
As Published: 2019
…FID suitability requirements which also include guidelines on conduct of business obligations. See [ https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-387_en.pdf …COLL 5.2 General investment powers and limits for UCITS schemes
As Published: 2005
…es when applying the rules in this section. CESR's UCITS eligible assets guidelines are available at https://www.esma.europa.eu/sites/default/files/library/2015/11/07_044.pdf. …