Chapter 11 Dealing and managing - FCA Handbook

2 In the light of the results of a firm's reverse stress tests, the FSA appropriate regulator may require the firm to implement specific measures to prevent or mitigate the risk of

2 The record referred to in 1 must include: a the name or other designation of the scheme and of the person acting on behalf of the scheme; b the details necessary to identify the

COBS 9 : Suitability including Section 9.4 : Suitability reports basic advice other than MiFID and insurance-based… 9 b a statement as to whether the recommendation is in relation to

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

[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

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

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

A firm which has a permission to use internal models in accordance with Part Three, Title IV, Chapter 5 of the UK CRR Own funds requirements for market risk: 1 must identify any