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Sup 9 fca handbook glossary >> DOWNLOAD

Sup 9 fca handbook glossary >> READ ONLINE

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SUP 9.3 (Giving individual guidance to a firm on the FCA’s own initiative) is, for individual guidance on how the rules and general guidance in the Handbook, the some of the FCA’s5 requirements are expressed in general terms; however,
FCA 2014/9: Listing Rules and Disclosure and Transparency Rules (Primary Information Providers) Chapter: Glossary, LR. Effective Chapter: Glossary, SUP.
SUP 10A.9 – Rule-making and Amending Instruments Chapter: Glossary, FIT, SUP, SYSC, CASS, COCON. Effective Date: 16th December 2015
FCA 2016/9: Handbook Administration (No 40) Instrument 2016. Chapter: Glossary, MCOB, PR, LR, IPRU-INV, SUP, GEN, SYSC, MAR, COCON, BCOBS, EG.
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Requests for individual guidance may be made in writing or orally. Requests for individual guidance in relation to the Part 6 rules should be made in writing
Requests for individual guidance may be made in writing or orally. Requests for individual guidance in relation to the Part 6 rules should be made in writing
FCA 2016/9: Handbook Administration (No 40) Instrument 2016. Chapter: Glossary, MCOB, PR, LR, IPRU-INV, SUP, GEN, SYSC, MAR, COCON, BCOBS, EG.
SUP 9.3 Giving individual guidance to a firm on the FCA’s own initiative The FCA’s assessment of these risks is reflected in how its rules apply to different expressed in general terms; however, there may be times when the FCA5 will wish to be given more detailed guidance than that contained in the FCA Handbook5;