Chapter 15 Notifications to the FCA - FCA Handbook

A firm must ensure that an employee does not carry on an activity in ■TC Appendix 1other than an overseeing activity for which there is a qualification requirement without first

COND 2 : The threshold Section 2.5 : Suitability conditions 2 has ever been asked to resign from employment in such a position; whether the FCA considers a resignation to be

FCTR 15 : Banks’ control of Section 15.3 : 15.3Consolidated examples of financial crime risks in trade good and poor practice finance 2013 15 15.3.5 15.3.6 ■ Release 29 ● May 2023

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

Non-exhaustive list of examples of when the FCA may itself appoint a skilled person rather than require a firm to do so Toolkit purpose Purpose for use of tool Examples of reasons for

Staff training and awareness Examples of good practice Examples of poor practice • A firm’s financial crime • A firm fails to provide ad- training delivers clear equate training on

A sponsor must in relation to a sponsor service: 1 referred to in■LR 8.2.1R 1to■4,■LR 8.2.1R 11,■LR 8.2.1A Rand, where relevant■LR 8.2.1R 5, provide assurance to the FCA when required

If the RRD group includes an IFPRU 730k firm that is not a significant IFPRU firm and does not include an IFPRU 730k firm that is a significant IFPRU firm the group recovery plan must