Chapter 11 Recovery and resolution - FCA Handbook

The SFGB money advice levy and SFGB debt advice levy are each calculated as follows: 1 identify each of the activity groups set out in Part 1 of ■FEES 7A Annex 1R and Part 1 of■FEES

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

Solo capital resources 6.4 1 The solo capital resources requirement of an undertaking requirement: Insurance in the insurance sector must be calculated in accordance sector with this

[Note: article 102 of the MiFID Delegated Directive] 1 Distributors must have in place adequate product governance arrangements to ensure that: a the financial instruments and

Where a claim made in connection with protected investment business relates to an Additional Voluntary Contribution policy advised on or arranged by a relevant person, the FSCS must

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

[Note: articles 13, 14, 163, 242 and 412 of MiFID] A TP firm and a Gibraltar-based firm must also comply with the provisions in ■PROD 1.3and■PROD 3in relation to a pathway investment,

A key features document must: 1 include enough information about the nature and complexity of the product, how it works, any limitations or minimum standards that apply and the