Chapter 8 Claims handling - 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

COBS 9 : Suitability including Section 9.4 : Suitability reports basic advice other than MiFID and insurance-based… 9 b a statement as to whether the recommendation is in relation to

[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

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

The first step is to identify all cases within the subject matter of the scheme; ie, where each of the following conditions is satisfied "scheme cases" 1 the firm made a personal

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

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