Chapter 4 Further topics - FCA Handbook

A firm may provide the distance marketing information ■COBS 5 Annex 1R and the contractual terms and conditions in a durable medium immediately after the conclusion of a distance

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

[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

2.1B R A firm with potential liability under an excess policy and which satisfies the requirements of 1.1BR must tailor the statement in 2.1R to include ref- erence to the following: 1

MIFIDPRU 7 : Governance and Section 7.10 : Supervisory review and risk management evaluation process 7 G 7.10.11 G 7.10.12 G 7.10.13 1 the business of the firm or investment firm

1 A firm may calculate the securities PRR for position risk general market risk and specific risk for positions in CIUs in accordance with the methods set out in the securities PRR

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