Chapter 1 Product Intervention and Product ... - FCA Handbook

FCA Handbook only COLUMN B Application to all other firms apart from insurers, UK ISPVs, managing agents, the Soci- ety, full-scope UK COLUMN A AIFMs of unau- COLUMN A++ Application

Contents of the standard agreement 1 Provisions related to the procedures to be followed by the parties to the agreement: a a description of the procedures, included those relating to

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

A reference to firm in this chapter includes a fee-paying payment service provider, a CBTL firm, a fee-paying electronic money issuer, a designated finance platform, a designated credit

2 The following are examples of the consistency and coherence required by the ICARA process: a the potential material harms that the firm identifies under ■MIFIDPRU 7.4.13Rare

74 An investment firm shall, in relation to every initial order received from a client and in relation to every initial decision to deal taken, immediately record and keep at the

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

Where this section applies with respect to a financial conglomerate, the risk management processes referred to in■SYSC 12.1.8R 2or, for a Solvency II firm, the risk management system