SUP 3 Annex 1 - FCA Handbook

[Note: article 102 of the MiFID Delegated Directive] 1 Distributors must have in place adequate product governance arrangements to ensure that: a the financial instruments and

The byelaws referred to in■INSPRU 8.4.3 Rshould: 1 ensure that adequate and effective arrangements are in place to enable members and persons applying to be admitted as members to

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

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