Principles for Businesses - FCA Handbook

PRIN 1 : Introduction Section 1.1 : Application and purpose 1 1.1.9 G 1.1.10 G PRIN 1/4 www.handbook.fca.org.uk Release 43 Oct 2019 and of investigation and intervention, and provide a basis on which theFCA may apply to a court for aninjunctionor restitution order or require afirm or otherpersonto make restitution.However, thePrinciplesdo not give rise ...

  Principles, Businesses, Principles for businesses

Chapter 10 Significant transactions: Premium listing

LR 10 : Significant transactions: Section 10.1 : Preliminary Premium listing 10 10.1.5 G Release 43 Oct 2019 www.handbook.fca.org.uk LR 10/3 In assessing whether a transaction is in the ordinary course of acompany's business under this chapter, theFCAwill have regard to the size and incidence of similar transactions which thecompanyhas entered into.The

  Chapter, Transactions, Significant, 10 01, Chapter 10 significant transactions, Significant transactions

Fit and Proper test for Employees and Senior Personnel ...

FIT 1 : General Section 1.1 : Application and purpose 1 1.1.3 G 1.1.4 G Release 14 Dec 2021 www.handbook.fca.org.uk FIT 1/3 subject to competence requirementsunder thecompetent employees rule, anyonshored regulationor any other requirement of theregulatory system. (2) theFCAwill consider when assessing the fitness and propriety of a candidatefor acontrolled …

  Senior, Fitness

Chapter 18 Whistleblowing - FCA Handbook

SYSC 18 : Whistleblowing Section 18.3 : Internal arrangements 18 18.3.5 G 18.3.6 R SYSC 18/6 www.handbook.fca.org.uk Release 14 Dec 2021 (c) examples of events that might prompt the making of a reportable concern; (d) examples of action that might be taken by thefirmafter receiving areportable concernby awhistleblower, including

  Making, 18 18

FCA 2021 38

FCA 2021/38 Page 4 of 605 business unit (in SYSC 19G) a separate organisational or legal entity, business line or geographical location within a firm. cash trade (in MIFIDPRU) an order relating to the purchase or sale of a financial instrument that is: (1) referred to in paragraphs 1 to 3 of Part 1 of Schedule 2 to

Chapter 15 Guidance on the scope of the Payment Services ...

PERG 15 : Guidance on the Section 15.1 : Introduction scope of the Payment Services Regulations 2017 15 PERG 15/2 www.handbook.fca.org.uk Release 14 Dec 2021 15.1 Introduction The purpose of this chapter is to help businesses in the UK consider whether

  Services, Handbook, Payments, Payment services

Chapter 3 Client categorisation - Financial Services Authority

a lower level of protection if it is prepared to consider such requests. COBS 3 : Client categorisation Section 3.4 : Retail clients 3 3.4.1 R 3.4.2 R Release 14 Dec 2021 www.handbook.fca.org.uk COBS 3/7 3.4 Retail clients Aretail clientis aclientwho is not aprofessional clientor aneligible

  Levels

The Prospectus Regulation Rules sourcebook

The Prospectus Regulation Rules sourcebook PRR 1 Preliminary 1.1 Preliminary 1.2 Requirement for a prospectus and exemptions PRR 2 Drawing up the prospectus 2.1 General contents of prospectus 2.2 Format of prospectus 2.3 Minimum information requirements 2.4 Universal registration document

  Prospectus

The MiFID 2 Guide - FCA Handbook

Venues &Data Reporting Service legislation and the FCA Handbook Providers 1 1.2.4 G 1.2.5 G Release 14 Dec 2021 www.handbook.fca.org.uk M2G 1/7 More generally, where requirements in MiFID correspond to FCA rules, the source of the corresponding requirement is referred to below the relevant provision, for example MAR 5A.3.5: -

  Services, Handbook

Chapter 22 Regulatory references - FCA Handbook

SYSC 22.1.6R. One effect of SYSC 22.1.3Ris that the obligation to provide a reference can apply even if theemployeeworked in an overseas office of theemployer. [deleted] For anoverseas firm, SYSC 22.2.2R(Obligation to give references) only applies if the current or formeremployeein question (defined as“P”in

Contractual Applications of Negligence/ Gross Negligence ...

may seek contractual indemnity in a situation where the party was grossly negligent. In Austro v. Niagara Mohawk Power,6 a power company, as the defendant in a personal injury action, sought indemnity from the third-party defendant construction company under terms of the construction contract by which the

  Indemnity, Contractual, Contractual indemnity

INTERNATIONAL COMPARISON - LIABILITY, INDEMNITIES ...

excluded or affected by any exclusion clause (or any other indemnity or other provision). Also, the Australian Consumer Law has recently introduced an unfair contract terms regime in respect of standard form consumer contracts which renders unfair and voidable certain any unfair contractual terms.

  Indemnity, Contractual

Waiver of Subrogation and Additional Insured’s

indemnity, as we all know lawsuits can be expensive! As a result, insurers may be willing to waive subrogation, in order to minimize complex lawsuits and insurance claims, which will help ... or to comply with a contractual agreement requiring the named insured to do so (e.g., project owners, customers, or owners of ...

  Indemnity, Contractual

Sample Boiler Plate Clauses - PPIAF

Sample Contractual Clauses on Liability and Indemnification Option 1: Concession Contract: Liability and Indemnity The concessionaire shall indemnify, defend and hold harmless the contracting authority from and against, all liabilities, damages, losses, …

  Plate, Boiler, Indemnity, Contractual, Breo ellipta

Mergers and Acquisitions Warranty and Indemnity Insurance

Warranty & Indemnity (“W&I”) Insurance is a tailored insurance product from AIG’s Mergers & Acquisitions (M&A) Insurance team to cover breaches in representations and warranties given in the sale of a business. Sellers can cover themselves to prevent sale proceeds being tied up in escrow accounts.

  Indemnity

Professional liability of accountants and auditors

in a company’s articles or any contractual arrangement purporting to exempt the auditor from, or to indemnify him or her against, any liability for negligence, default, breach of duty or breach of trust. However, from 6 April 2008, provisions introduced by the Companies Act 2006 enable auditors to limit their liability

  Contractual

11. Security Services Agreement 01-11

($2,000,000.00) annual aggregate, with coverage for contractual liability. The Contractor shall also . maintain workers’ compensation insurance for its employees. Prior to the performance of services . pursuant to this Agreement, the Contractor or its insurer will provide the Client with a …

  Services, Security, Agreement, Contractual, Security services agreement