FUNDAMENTAL RULES - FCA Handbook

The firm should then identify each undertaking in the firm's UK consolidation group that satisfies the following conditions: 1 it is a CAD investment firm, financial institution or

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

The form would be completed as follows: Types of advice provided A 1 Indicate the types of advice provided by the firm Independent Section 1 - Independent advice A B Adviser

1 Contact Name for this form 2 Contact's Details: a Position in the firm b Daytime telephone number c E-mail address d Individual reference number IRN, if applicable There are

Activity grouping Description A.1 Version 2 credit unions only A.3 Friendly societies only A.4 Friendly societies only A.12 Advisory arrangers, dealers or brokers holding or

1 Contact Name for this form 2 Contact's Details: a Position in the firm b Daytime telephone number c E-mail address d Individual reference number IRN, if applicable There are

[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

1 If it appears to the FCA that there is, or there may be, a breach of the listing rules or the disclosure requirements and transparency rules by an issuer with a premium listing, the