Chapter 1 Application and purpose - FCA Handbook

NOTIFICATIONS Version 1 – June 2014 9 a involve a managing agent, or an approved person who carries out controlled functions for it or on its behalf; or b may indicate that an

for FCA/PRA use only Waiver - Application Form Firm name† Firm reference number† Address† Please tick if this firm has a PRA firm within its immediate group Please

Note 2: If, for example: -an introductory, promotional, or preferential rate of interest applies to the account until a specified future date or the end of a fixed period; or -there

2 Paragraph 1 does not apply to statements that explain, in a way that is fair, clear and not misleading, that: a the firm is an authorised person; b [deleted] c the firm has

If a firm's client bank account or client transaction account is transferred to another person, the firm must promptly draw up a new acknowledgement letter under■CASS 7.18.2 R,■CASS

[Note: recital 2 to the IDD POG Regulation] In addition to, and/or by way of elaboration of, the factors set out in ■PROD 4.2.3G, for a non-investment insurance product a firm should

MIFIDPRU 7 : Governance and Section 7.10 : Supervisory review and risk management evaluation process 7 G 7.10.11 G 7.10.12 G 7.10.13 1 the business of the firm or investment firm

Non-exhaustive list of examples of when the FCA may itself appoint a skilled person rather than require a firm to do so Toolkit purpose Purpose for use of tool Examples of reasons for