PDF Chapter 3 Systems and controls - FCA

2 Paragraph 1 does not apply to statements that explain, in a way that is fair, clear and not misleading, that: a the firm is an authorised person; b [deleted] c the firm has

A reference to firm in this chapter includes a fee-paying payment service provider, a CBTL firm, a fee-paying electronic money issuer, a designated finance platform, a designated credit

Subject to the general limitations on its powers contained in the Credit Unions Act 1979 or the Credit Unions Northern Ireland Order 1985 as appropriate and to the limitations contained

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

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

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

insurance sector for a banking/investment firm parent and vice versa, the balance sheet amount of the subsidiary or participation should be allocated to its sector using its individual

6 The firm took reasonable steps to ensure the consumer had the necessary experience and knowledge to invest in the selected Arch cru fund R Take the following steps: 1 refer to the