Chapter 3 Financial Promotion of qualifying ... - FCA Handbook

Although it may seem less critical to include consideration of other third parties such as landlords, creditors or trade payables, firms will need a prudent approach to wind-down

2 It may impose a financial penalty: a on a person that performs a controlled function without approval, under section 63A of the Act; aa on an approved person or conduct rules staff,

When complying with the competent employees rules, a firm must take into account the nature, scale and complexity of its business and the nature and range of financial services and

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

Article 16 Information concerning offers of securities 1.Information disclosed in oral or written form concerning an offer of securities to the public or an admission to trading on a

[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