Chapter 7 Market risk - FCA Handbook

4 Options that a firm could identify for the purposes of ■CONC 5D.3.2R5amay include, where assessed as appropriate for the customer: a advice on budgeting and money management, for

2 In the light of the results of a firm's reverse stress tests, the FSA appropriate regulator may require the firm to implement specific measures to prevent or mitigate the risk of

Solo capital resources 6.4 1 The solo capital resources requirement of an undertaking requirement: Insurance in the insurance sector must be calculated in accordance sector with this

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

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

10 b include, for an insurance intermediary or a firm carrying on funeral plan distribution, where appropriate, the following, and for a management company, such of the following as

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

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