Pra Rulebook

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

function’as defined in the PRA Rulebook: Glossary, then theFCAwill also have regard to the assessment made by thefirmas required in article 273 of theSolvency II Regulation(EU) 2015/35 of 10 October 2014; Rules 2.1 and 2.2 of the PRA Rulebook: Solvency II Firms: Insurance - Fitness and Propriety, and

  Rulebook, Pra rulebook

UK authorities finalise operational resilience approach

PRA Rulebook SS 1/21 SoP PS 21/3 PS 7/21 SS 2/21 Operational resilience: Impact tolerances for important business services Cover paper summarising the approach and key changes post consultation Outsourcing and third party risk management Bank of England Objective: financial stability Prudential Regulation Authority Safety and soundness ...

  Rulebook, Pra rulebook

Guide to Single Customer View (SCV)

PRA Rulebook (or Depositor Protection Rules for short). The PRA provides guidance on meeting these requirements in Supervisory Statement SS18/15 – ‘Depositor and dormant account protection’. Submitting SCV and Exclusions View files to FSCS There are several instances where deposit takers must give us an SCV and an Exclusions View file:

  Rulebook, Pra rulebook

Senior management arrangements, Systems and Controls

thePRA Rulebook. The application of this sourcebook to specificfirmsthat are notPRA-authorised personsis summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1and in the text of each chapter. Type of firm Applicable chapters Full-scope UK AIFM Chapters 4 to 10, 12, 18, 19B, 19F.2, 21, 22, 23,

  System, Management, Control, Senior, Arrangement, Rulebook, Senior management arrangements, Systems and controls

The Senior Managers and Certification Regime: Guide for ...

which implement the Solvency II Directive dis-applied to them (Rule 2 of the PRA’s Rulebook ‘Solvency II firms: Transitional Measures’). References to run-off firms in this guide include transitional firms. 5 Section 1 Financial Conduct Authority

  Rulebook

Financial Services Future Regulatory Framework Review

Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA), that work within an overall policy framework set by government and Parliament. 3. The FSMA model was adapted to address the regulatory failings that contributed to the 2007-08 global financial crisis. The Financial Services Authority was split into the PRA and the FCA.