Chapter 11 Recovery and resolution - FCA Handbook

4 Options that a firm could identify for the purposes of ■CONC 5D.3.2R5amay include, where assessed as appropriate for the customer: a advice on budgeting and money management, for

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

[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,

[deleted] If a firm's first contact with a retail client is not face to face, it must: 1 inform the client at the outset: a if the communication is initiated by or on behalf of a

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

10 b include, for an insurance intermediary or a firm carrying on funeral plan distribution, where appropriate, the following, and for a management company, such of the following as

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

A firm that is a UCITS investment firm or an operator of an electronic system in relation to lending must establish, implement and maintain adequate risk management policies and