Chapter 7 Governance and risk management - FCA Handbook

[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,

[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

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

If a firm's client bank account or client transaction account is transferred to another person, the firm must promptly draw up a new acknowledgement letter under■CASS 7.18.2 R,■CASS

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

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