Chapter 13 Preparing product information - FCA Handbook

When calculating the client money requirement under either of the methods in■CASS 7.16.10 R, a firm must: 1 include any unallocated client money see■CASS 7.13.36 R and unidentified

SUP 7 : Individual requirements Section 7.2 : The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own… 7 G 7.2.1 G 7.2.2 G 7.2.2A

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

[Note: article 281 of the IDD] 31For the purposes of identifying, in accordance with [■SYSC 3.3.5R, ■SYSC 3.3.13R,■SYSC 10.1.3Rand■SYSC 10.1.8R], in so far as those rules apply to the

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

[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

Some suggested elements the firm may want to consider for the communications plan include: 1 identifying the stakeholders to be engaged; 2 determining who should engage those

A firm must ensure that client money received by its agents is: 1 received directly into a client bank account of the firm; or 2 if it is received in the form of a cheque or other