Chapter 10 Conflicts of interest - FCA Handbook

More than one box can be selected if the scope of the service provided to a particular customer varies by type of contract, for example, if a firm deals with a single insurance

You should consider whether you can afford to take the high risk of losing your money.” 10C If a firm markets, distributes or sells restricted speculative options but does not market,

Category of change applied for Estimated Regulated Consumer Credit Income Fee Limited permission only firm applying for further limited permission activities Not applicable No

2 The application must: a contain a clear explanation of why the dispensation or modification is requested; b include details of any special requirements, for example, the date by

CONC 5C : Overdraft pricing Section 5C.2 : Charges for overdrafts to be interest rates 5C R 5C.2.1 5C.2 Charges for overdrafts to be interest rates 1 A firm must not: a enter into

Illustration of the time horizon Considerations Wind-down period during Business Start point During wind- End point as Usual down period •Consider a A firm’s gov- A firm wants to

The first step is to identify all cases within the subject matter of the scheme; ie, where each of the following conditions is satisfied "scheme cases" 1 the firm made a personal

The purpose of this guidance is to outline the circumstances in which a body corporate will be an open-ended investment company and, in so doing, to: 1 give an overview of the