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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

FCG 3.4 Sources of further information

As Published: 2018

…’ chief source of guidance on this topic: www.jmlsg.org.uk • The Basel Committee’s May 2009 paper on due diligence for cover payment messages: …
Non-legal changes document 2015

As Published: 2015

…One large firm’s procedures required it to undertake periodic Know Your Customer (KYC)/Customer Dule Due Diligence (CDD) reviews of existing clients. …
EG 19.38 UK Securitisation Regulations

As Published: 2019

…Securitisation Regulation and the UK Securitisation Regulations promote transparency and appropriate due diligence by investors for securitisation investments. They create a framework for simple, transparent and st…
REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

…easonable grounds for it to be satisfied that the person took all reasonable steps and exercised all due diligence to ensure that the requirement was complied with. …
FCG 5.2 Themes

As Published: 2018

…tsourcing arrangement with another Zurich company in South Africa. • It failed to carry out adequate due diligence on the data security procedures used by the South African company and its subcontractors. …
FCTR 11.3 Consolidated examples of good and poor practice

As Published: 2018

…bject to ongoing review. • A third party reinstated to a panel after termination is subject to fresh due diligence checks. …
MAR 1.3 Insider dealing

As Published: 2005

… offer for the target; and 5 (2) information that an offeror or potential offeror may obtain through due diligence. …
TC_Appendix7G_20110401.pdf

As Published: 2011

…erformance of investments - selection of products, tax wrapper and services - provider selection and due diligence- recommendations and suitability • wrap and other platforms: - concept and uses - benefits and risk…
LR 8.6 Criteria for approval as a sponsor

As Published: 2005

…relevant to sponsor services ; (ii) the procedural requirements and processes of the FCA ; (iii) the due diligence process required in order to provide …
FCG 2.2 Themes

As Published: 2018

…ship, considering all relevant risk factors, and • enable the firm to apply the appropriate level of due diligence to manage the risks identified. …
PERG 2.2 Introduction

As Published: 2007

…fine, it is a defence for a person to show that he took all reasonable precautions and exercised all due diligence to avoid committing the offence. …
SUP 13A Annex 2 Matters reserved to a Home State regulator

As Published: 2007

… to act in the best interests of the scheme and its Unitholders) ( branch only); (4) COLL 6.6A.4 R ( Due diligence requirements of AFMs of UCITS schemes and EEA UCITS schemes) ( …
FCG 3.1 Introduction

As Published: 2018

…irms subject to the regulations to take account of these guidelines when complying with the customer due diligence requirements in Regulations 33 and 37. …
BCOBS 5.1 Post sale requirements

As Published: 2009

…her account with the same firm and the firm already holds data and documents in relation to customer due diligence measures, including data and documents to verify the identity of that customer that are suitable fo…
SUP 13.6 Changes to branches

As Published: 2001

…is a defence, however, for the UK firm to show that it took all reasonable precautions and exercised due diligence to avoid committing the offence. …
FCG 7.2 Themes

As Published: 2018

…f-assessment questions: • Does your firm finance trade with high risk countries ? If so, is enhanced …
COLLG 5A.1 Introduction

As Published: 2012

…estment funds ( FAIF ). The authorised fund manager of such a fund must carry out certain additional due diligence procedures in relation to the funds in which the …
PERG 8.2 Introduction

As Published: 2007

…. However, it is a defence for a person to show that he took all reasonable precautions and used all due diligence to avoid committing the offence. …
LR 5.6 Reverse takeovers

As Published: 2012

…into an exclusivity period with a target ; or (3) the shell company 6 has been given access to begin due diligence work (whether or not on a limited basis). …
TC_Appendix7G_20110201.pdf

As Published: 2011

…erformance of investments - selection of products, tax wrapper and services - provider selection and due diligence- recommendations and suitability · wrap and other platforms: - concept and uses - benefits and risk…
PERG 8.4 Invitation or inducement

As Published: 2005

…example, a prospective purchaser of, or investor in, a company may wish to see a valuation report, a due diligence report or legal advice. The fact that the …
CONRED 2 Annex 13 CF Arch cru funds template instructions

As Published: 2013

…rvice if it does not understand it sufficiently, especially if it intends to provide advice; (2) any due diligence: a …
COLLG-2012.pdf

As Published: 2012

…nvestment funds (FAIF). The authorised fund manager of such a fund must carry out certain additional due diligence procedures in relation to the funds in which the FAIF is to invest; …
BIPRU 7.2 Interest rate PRR

As Published: 2007

….3.18 R to BIPRU 9.3.20 R (Disclosure requirements) and BIPRU 9.15.11 R to BIPRU 9.15.16 R (investor due diligence requirements) in any material respect by reason of its negligence or omission, the …
SUP 13A Annex 1 Application of the Handbook to Incoming EEA Firms

As Published: 2006

…A UCITS schemes to act in the best interests of the scheme and its Unitholders); (b) COLL 6.6A.4 R ( Due diligence requirements of AFMs of UCITS schemes and EEA UCITS schemes); …