BCOBS 7.2 What information is to be published and how is it to be measured? Fox Files COMP 7.4 Duty on FSCS to pursue recoveries, COMP 7.7 Funeral plan contracts and related trust arrangements and contracts of insurance, COMP 8 Rejection of application and withdrawal of offer, COMP 8.2 Rejection of application for compensation, COMP 8.3 Withdrawal of offer of compensation, COMP 9 Time limits on payment and postponing payment, COMP 10 Limits on the amount of compensation payable, COMP 12.6 Quantification: trustees, operators of pension schemes, persons winding up pension schemes,personal representatives, agents, and joint claims, COMP 12A.2 Personal representatives, agents and joint claims, COMP 12A.5 Claims arising under COMP 3.2.4R, COMP App 1.2 Payments to Her Majestys Treasury, COMP Sch 3 Fees and other required payments, COLL 3.2 The instrument constituting the fund, COLL 4.4 Meetings of Unitholders and service of notices, COLL 4.6 Simplified Prospectus provisions [deleted], COLL 4.7 Key investor information and marketing communications, COLL 4.8 Notifications for UCITS master-feeder arrangements, COLL 4 Annex 1 Total expense ratio calculation [deleted], COLL 4 Annex 2 Portfolio turnover calculation [deleted], COLL 5.2 General investment powers and limits for UCITS schemes, COLL 5.5 Cash, borrowing, lending and other provisions, COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes, COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs, COLL 5.8 Investment powers and borrowing limits for feeder UCITS, COLL 5.9 Investment powers and other provisions for money market funds [deleted], COLL 6 Operating duties and responsibilities, COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary, COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary, COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes, COLL 6.8 Income: accounting, allocation and distribution, COLL 6.9 Independence, names and UCITS business restrictions, COLL 6.10 Senior personnel responsibilities, COLL 6.11 Risk control and internal reporting, COLL 6.12 Risk management policy and risk measurement, COLL 6 Annex 2 UK UCITS management company of UCITS schemes: Derivative Use Report (FSA042: UCITS), COLL 6 Annex 3 Guidance notes on UK UCITS management company of UCITS schemes: Derivative Use Report (FSA042: UCITS), COLL 7 Suspension of dealings, termination of authorised funds and side pockets, COLL 7.2 Suspension and restart of dealings, COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC, COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT, COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme, COLL 7.5 Schemes or sub-funds that are not commercially viable, COLL 7 Annex 1 Matters to be considered by the authorised fund manager before creating a side pocket class, COLL 8.6 Termination, suspension, and schemes of arrangement, COLL 8 Annex 2 ACS Qualified Investor Schemes: eligible investors, COLL 9.1 Application and general information, COLL 9.2 Section 264 recognised schemes [deleted], COLL 9.4 Facilities in the United Kingdom, COLL 11 Master-feeder arrangements for UCITS schemes, COLL 11.3 Co-ordination and information exchange for master and feeder UCITS, COLL 11.6 Winding up, merger and division of master UCITS, COLL 11 Annex 1 Contents of the standard master-feeder agreement, COLL 11 Annex 2 Contents of the internal conduct of business rules, COLL 13.2 Operational requirements for feeder NURS, COLL 14 Charity authorised investment funds, COLL 14.2 Registration with the Charity Commission, COLL 14.4 Income allocation and distribution, COLL 15.2 Eligibility to act as the authorised fund manager, COLL 15.4 Prospectus and other pre-sale notifications, COLL 15.5 Annual report and investor relations, COLL 15.6 Investment and borrowing powers, COLL 15.7 Powers and responsibilities of the authorised fund manager and the depositary, COLL 15.8 Valuation, pricing, dealing and income, COLL 15.9 Operational requirements for feeder LTAFs, COLL 15.10 Termination, suspension, and schemes of arrangement, COLL 15 Annex 1 ACS Long-term asset funds: Eligible investors, COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS, COLL Sch 3 Fees and other required payments, CREDS 2 Senior management arrangements, systems and controls, CREDS 3A.4 Insurance against fraud or other dishonesty, CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments, CREDS 7.1 Application, purpose and interpretation, CREDS 7.2 General requirements concerning lending policy, CREDS 9 Complaints reporting rules for credit unions, CREDS 9 Annex 1 Credit union complaints return, CREDS 10 Application of other parts of the Handbook to credit unions, CREDS Sch 3 Fees and other required payments, CREDS Sch 5 Rights of actions for damages, CONC 1 Application and purpose and guidance on financial difficulties, CONC 1.3 Guidance on financial difficulties, CONC 2 Conduct of business standards: general, CONC 2.2 General principles for credit-related regulated activities, CONC 2.3 Conduct of business: lenders and restrictions on provision of credit card cheques, CONC 2.4 Credit references: conduct of business: lenders and owners, CONC 2.5 Conduct of business: credit broking, CONC 2.5A Conduct of business: high-cost short-term credit (HCSTC) products on price comparison websites, CONC 2.6 Conduct of business: debt counselling, debt adjusting and providing credit information services, CONC 2.9 Prohibition of unsolicited credit tokens, CONC 2.11 Remuneration and performance management policies, procedures and practices, CONC 2 Annex 1 Distance marketing information, CONC 2 Annex 2 Abbreviated distance marketing information, CONC 3 Financial promotions and communications with customers, CONC 3.2 Financial promotion general guidance, CONC 3.3 The clear fair and not misleading rule and general requirements, CONC 3.4 Risk warning for high-cost short-term credit, CONC 3.5 Financial promotions about credit agreements not secured on land, CONC 3.6 Financial promotions about credit agreements secured on land, CONC 3.7 Financial promotions and communications: credit brokers, CONC 3.7A Financial promotions and communications: P2P agreements, CONC 3.8 Financial promotions and communications: lenders, CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters, CONC 3.10 Financial promotions not in writing, CONC 3.11 Not approving certain financial promotions, CONC 4.2 Pre-contract disclosure and adequate explanations, CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements, CONC 4.4 Pre-contractual requirements: credit brokers, CONC 4.6 Pre-contract disclosure: continuous payment authorities, CONC 4.7 Information to be provided in relation to current account agreements, CONC 4.8 Pre-contract: unfair business practices: consumer credit lending, CONC 5.2 Creditworthiness assessment: before agreement [deleted], CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted], CONC 5.4 Conduct of business: credit brokers, CONC 5.5 Creditworthiness assessment: P2P agreements [deleted], CONC 5.5A Creditworthiness assessment: P2P agreements, CONC 5A Cost cap for high-cost short-term credit, CONC 5A.1 Application, purpose and guidance, CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit, CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit, CONC 5A.4 Cost cap for operating an electronic system in relation to lending, CONC 5A.5 Consequences of contravention of the cost caps, CONC 5B Cost cap for rent-to-own agreements, CONC 5B.2 Prohibition on RTO firms from entering into RTO agreements, CONC 5B.4 Policies and procedures for establishing benchmarked prices, CONC 5B.6 Consequences of contravention of the total cost of credit cap, CONC 5C.2 Charges for overdrafts to be interest rates, CONC 5C.3 Interest rates for unarranged overdrafts to be no more than the interest rates for arranged overdrafts, CONC 5C.4 Impact of changes to charging structures, CONC 5D.2 Obligation to identify and monitor repeat use of overdrafts, CONC 5D.3 Interventions to be taken in the case of repeat users, CONC 5D.4 Monitoring repeat use strategies, CONC 5D.5 Reporting on repeat use of overdrafts, CONC 6.2 Assessment of creditworthiness: during agreement [deleted], CONC 6.3 Information to be provided on a current account agreement and on significant overdrawing, CONC 6.6 Pawn broking: conduct of business, CONC 6.7 Post contract: business practices, CONC 6.8 Post contract business practices: credit brokers, CONC 7 Arrears, default and recovery (including repossessions), CONC 7.2 Clear effective and appropriate arrears policies and procedures, CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors, CONC 7.5 Pursuing and recovering repayments, CONC 7.6 Exercise of continuous payment authority, CONC 7.7 Application of interest and charges, CONC 7.10 Treatment of customers with mental capacity limitations, CONC 7.11 Disclosures relating to authority or status, CONC 7.12 Lenders responsibilities in relation to debt, CONC 7.13 Data accuracy and outsourced activities, CONC 7.14 Settlements, disputed and deadlocked debt. - Any statement issued by a Canadian government body (federal, provincial, territorial or municipal) - CRA Notice of Assessment - GST refund letter - Utility bill (electricity, water, telecommunications, internet) dated within the last 3 months - T4 statement - Investment account statements (RRSP, GIC, etc.) Supplies on hand, demonstration equipment, and construction in-progress are also assessable. CASS 13.8 Money due to a client or third party. Income Tax Refund Information An Online Resource for Skilled Immigrants. PERG 10 Annex 4 Table summarising regulatory position of employers and affinity groups. Please note the requirements of the program have not changed. Machinery, equipment, tools, furniture, fixtures, and leasehold improvements held or used in connection with a trade or business are taxable. https://dev.michigan.local/som/json?sc_device=json, The Storage Tank Section of the Bureau of Fire Services is seeking to hire, Corporations, Securities & Commercial Licensing, Medical Marijuana Program (MMMP) Patients & Caregivers, Learn About CRA Rules, Laws & Regulations, Find / Verify a CRA Licensed Professional or Business, Make a Complaint About a CRA Licensed Professional or Business, Track Marijuana Inventory - Statewide Marijuana Monitoring System (Metrc), Find Panel, Public Hearing & Workgroup Information, Find a Disciplinary Action Report or Document, Apply for / Renew a BCC License or Permit, Find / Verify a BCC Licensed Professional or Business, Make a Complaint About a BCC Licensed Professional or Business, Learn About Examinations & Continuing Education, Find / Verify a BCHS Licensed Professional or Business, Make a Complaint About a BCHS Licensed Professional or Business, Find / Verify a CSCL Licensed Professional or Business, Make a Complaint About a CSCL Licensed Professional or Business, Contact the Michigan Liquor Control Commission, Local Government & Law Enforcement Resources, Administrative Hearings Frequently Asked Questions, Request to Attend a Hearing (for Media Professionals), Learn About Continuing Legal Education (CLE), Learn About Rules of Practice and Procedure, Find / Verify a UCC Licensed Professional or Business, Make a Complaint About a UCC Licensed Professional or Business, Gasoline Tank Truck Test (Rule 627 Program), Sign up here to receive GovDelivery announcements from the Bureau of Fire Services, Hazardous Materials Storage Inspectors (HMSI), Reporting and Notification of Hazardous Material Incidents. You may also call us at 1(213) 893-7935, press 1, 2, and then press 9 to reach an agent, Monday through Friday, between 8:00 a.m. and 5:00 p.m. Pacific Time, excluding Los Angeles County holidays. This legislation affects Parent-Child and Grandparent-Grandchild exclusions and Base Year Value Transfers. Failure to choose the correct form for your filing frequency will delay the processing of your return. The regulatory authority is under Part 55 the Natural Resources and Environmental Protection Act, 1994 PA 451, as amended, and the rules promulgated under the act. FPCOB 1 Annex 1 Application (see FPCOB 1.2.11G), FPCOB 2.3 Customers with a payment shortfall, FPCOB 3 Structure Provisions - arrangements underpinning a funeral plan contract, FPCOB 3.1 Trust and insurance arrangements: structure provisions, FPCOB 3.2 Trusts: solvency assessment, remediation and other requirements, FPCOB 3 Annex 1 Form of a beneficial trust, FPCOB 4 Communications and financial promotions, FPCOB 4.2 Communications and financial promotions: the obligations, FPCOB 5 Annex 1 Guidance on the Distance Marketing Provisions, FPCOB 5 Annex 2 Distance marketing information, FPCOB 5 Annex 3 Abbreviated distance marketing information, FPCOB 6 Information about the firm and its services, FPCOB 6.2 Means of communication to customers, FPCOB 6.4 Charging for funeral plan distribution, FPCOB 6.5 Payments to funeral plan intermediaries, FPCOB 7 Prohibition on entering into long-term instalment payment funeral plans, FPCOB 8 Identifying client needs and advising, FPCOB 8.3 Ensuring customers can make an informed decision, FPCOB 9.1 Producing and providing product information, FPCOB 9.2 Providing product information to customers: general, FPCOB 9.3 Post-contract information: funeral plan contracts, FPCOB 9 Annex 2 Nominated representative document, FPCOB 12 Handling of payments by intermediaries, FPCOB 15.3 Core capital resources requirement, FPCOB 15.4 Capital resources: relevant accounting principles, FPCOB 15.5 Core capital resources requirement for funeral plan provision activities, FPCOB 15.6 Core capital resources requirement for a firm that only undertakes funeral plan distribution activity, FPCOB 15.7 Core capital resources requirement for a firm carrying on other regulated activity, FPCOB 15.9 Calculation of core capital resources, FPCOB 15.10 Systems, strategies, processes and reviews, FPCOB 16.1 Arrangements for funeral plan continuity or customer reimbursement on firm failure, FPCOB 16.2 Funeral Plan Resolution Manual, FPCOB 17 Application of other parts of the Handbook, FPCOB Sch 2 Notification and reporting requirements, CASS 1 Application and general provisions, CASS 1.4 Application: particular activities, CASS 1.5 Application: electronic media and E-Commerce, CASS 1A CASS firm classification and operational oversight, CASS 1A.3 Responsibility for CASS operational oversight, CASS 5 Client money: insurance distribution activity, CASS 5.2 Holding money as agent of an insurance undertaking, CASS 5.4 Non-statutory client money trust, CASS 5.5 Segregation and the operation of client money accounts, CASS 5.8 Safe keeping of client's documents and other assets, CASS 5 Annex 1 Segregation of designated investments: permitted investments, general principles and conditions (This Annex belongs to CASS 5.5.14 R), CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties, CASS 6.6 Records, accounts and reconciliations, CASS 6.7 Treatment of custody assets after a failure, CASS 7.12 Organisational requirements: client money, CASS 7.14 Client money held by a third party, CASS 7.15 Records, accounts and reconciliations, CASS 7.16 The standard methods of internal client money reconciliation, CASS 7.19 Clearing member client money sub-pools, CASS 7 Annex 2 Client bank account acknowledgment letter template, CASS 7 Annex 3 Client transaction account acknowledgment letter template, CASS 7 Annex 4 Authorised central counterparty acknowledgment letter template, CASS 7 Annex 5 Guidance notes for acknowledgement letters (CASS 7.18), CASS 7 Annex 6 Sub-pool disclosure document, CASS 7A Client money distribution and transfer, CASS 9.2 Prime broker's daily report to clients, CASS 9.3 Prime brokerage agreement disclosure annex, CASS 9.4 Information to clients concerning custody assets and client money, CASS 10.1 Application, purpose and general provisions, CASS 10.3 Existing records forming part of the CASS resolution pack, CASS 11 Debt management client money chapter, CASS 11.3 Responsibility for CASS operational oversight, CASS 11.4 Definition of client money and the discharge of fiduciary duty, CASS 11.7 Selecting an approved bank at which to hold client money, CASS 11.8 Client bank account acknowledgement letters, CASS 11.9 Segregation and the operation of client money accounts, CASS 11.11 Records, accounts and reconciliations, CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank, CASS 11 Annex 1 CASS debt management firm client bank account acknowledgement letter template, CASS 11 Annex 2 Guidance notes for client bank account acknowledgement letters (CASS 11.8.5G), CASS 12 Commodity Futures Trading Commission Part 30 exemption order, CASS 13.2 Organisational requirements and responsibility for CASS operational oversight, CASS 13.4 Selecting an approved bank at which to hold client money, CASS 13.5 Client bank account acknowledgement letters, CASS 13.6 Segregation and the operation of client money accounts, CASS 13.7 Money due and payable to the firm. There is no tax exemption amount available if you or your associated group of employers has more than $5 million of Business Tax Forms MCOB 5A.2 Applying for an MCD regulated mortgage contract, MCOB 5A.3 Information on MCD regulated mortgage contracts: general, MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS), MCOB 5A.5 Content of European Standardised Information Sheets (ESISs), MCOB 5A Annex 1 European Standardised Information Sheet (ESIS), MCOB 5A Annex 2 Instructions to complete the ESIS, MCOB 6.4 Mortgages: content of the offer document, MCOB 6.5 Mortgages: information to be provided in the offer document or separately, MCOB 6.6 Mortgages: offer documents in place of illustrations, MCOB 6.7 Business loans and loans to high net worth mortgage customers: tailored provisions, MCOB 6.9 Regulated sale and rent back agreements. To apply for an exemption certificate, complete the Maryland SUTEC Application form. Each situation and property is unique, and you should contact our office with specific questions regarding your property. Canadian interests Charitable work [R205 DISP 2.5 To which activities does the Voluntary Jurisdiction apply? Reducing Barriers to Licensure for Military Families. The Assessors Office will not be able to answer detailed questions about the legislation at this point in time. Before inquiring about the status of administrative processing, please wait at least 60 days after your interview. WDPG 4.3 Client monies and custody assets, WDPG 4.4 Groups of firms and overseas businesses, WDPG 4.5 Continuing regulatory requirements during wind-down, WDPG App 2 QRG: leadership and responsibilities, WDPG App 2.1 Leadership and responsibilities, WDPG App 3 QRG: business areas and workshops, WDPG App 3.1 Engaging all business areas and setting up workshops, WDPG App 4 QRG: the business and operating models, WDPG App 4.1 Analysing the business and operating models, WDPG App 5 QRG: wind-down scenarios and relevant management information, WDPG App 5.1 Generating wind-down scenarios and identifying relevant management information to monitor, WDPG App 6 QRG: the governance process for winding down, WDPG App 6.1 Formulating a governance process for winding down. There are a variety of options available for lowering your property taxes. As you rebuild, your property taxes will increase based on how and when you rebuild, pursuant to state law. FCA Handbook The CRA will issue you a certificate of compliance, Form T2068. Embassy Bogota, Colombia - BGT SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent? By Executive Order 3012-14 the 627 Program has been transferred from the Department of Environmental Quality to the Department of Licensing and Regulatory Affairs effective December 3, 2012. PERG 7.4 Does the article 54 exclusion apply? Dispositions of taxable Canadian property (certificates of compliance) A non-resident corporation that disposes of taxable Canadian property must notify the CRA and may be required to get a certificate of compliance under section 116.For details, see Information Circular IC72-17, Procedures Concerning the Disposition of Taxable Canadian Property by Non-residents of Employer Health Tax (EHT) | ontario.ca The underbanked represented 14% of U.S. households, or 18. IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS, IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES, IPRU-INV 12 App 1 Appendix 1: Glossary of terms for IPRU(INV) 12, IPRU-INV 13 Financial Resources Requirements for Personal Investment Firms, IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS, IPRU-INV 13.3 FINANCIAL RESOURCES TEST 1 - OWN FUNDS, IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM, IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR A PERSONAL INVESTMENT FIRM, IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM, IPRU-INV 14 Chapter 14 Consolidated Supervision for Investment Businesses, IPRU-INV 14.3 CONSOLIDATED SUPERVISION REQUIREMENT, IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT, IPRU-INV 14 App 1 Appendix 14(1): Interpretation, IPRU-INV Annex A LIMITED LIABILITY PARTNERSHIPS: ELIGIBLE MEMBERS' CAPITAL, IPRU-INV Annex A 2- CONDITIONS FOR USE OF MEMBERS' CAPITAL, IPRU-INV Annex D Interim Prudential sourcebook for Investment Businesses, IPRU-INV TP 1 Table: Transitional provisions applying to IPRU(INV), COBS 1.2 Markets in Financial Instruments Directive, COBS 1 Annex 1 Application (see COBS 1.1.2R), COBS 2.1 Acting honestly, fairly and professionally, COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution), COBS 2.2A Information disclosure before providing services (MiFID and insurance distribution provisions), COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products, COBS 2.3A Inducements relating to MiFID, equivalent third country or optional exemption business and insurance-based investment products, COBS 2.3C Research and execution services, COBS 2.4 Agent as client and reliance on others, COBS 3.7 Providing clients with a higher level of protection, COBS 3.8 Policies, procedures and records, COBS 4 Communicating with clients, including financial promotions, COBS 4.2 Fair, clear and not misleading communications, COBS 4.3 Financial promotions to be identifiable as such, COBS 4.5 Communicating with retail clients (non-MiFID provisions), COBS 4.5A Communicating with clients (including past, simulated past and future performance) (MiFID provisions), COBS 4.6 Past, simulated past and future performance (non-MiFID provisions), COBS 4.7 Direct offer financial promotions, COBS 4.8 Cold calls and other promotions that are not in writing, COBS 4.9 Financial promotions with an overseas element, COBS 4.10 Systems and controls and approving and communicating financial promotions, COBS 4.11 Record keeping: financial promotion, COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments, COBS 4.14 Restrictions on the promotion of speculative illiquid securities to retail clients, COBS 5.1 The distance marketing disclosure rules, COBS 5 Annex 1 Distance marketing information, COBS 5 Annex 2 Abbreviated distance marketing disclosure, COBS 6 Information about the firm, its services and remuneration, COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions), COBS 6.1ZA Information about the firm and compensation information (MiFID and insurance distribution provisions), COBS 6.1A Adviser charging and remuneration, COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration, COBS 6.1C Consultancy charging and remuneration, COBS 6.1D Product provider requirements relating to consultancy charging and remuneration, COBS 6.1E Platform services: platform charges and using a platform service for advising, COBS 6.1F Using a platform service for arranging and advising, COBS 6.1G Re-registration of title to retail investment products, COBS 6.2A Describing advice services [deleted], COBS 6.4 Disclosure of charges, remuneration and commission, COBS 6 Annex 1 Services and costs disclosure document described in COBS 6.3.7G(1) [deleted], COBS 6 Annex 2 Combined initial disclosure document described in COBS 6.3, ICOBS 4.5 and MCOB 4.4A.20G [deleted], COBS 6 Annex 6 Calculating commission equivalent, COBS 7.3 Additional insurance distribution obligations, COBS 7.4 Insurance distribution: Means of communication to clients, COBS 8 Client agreements (non-MiFID provisions), COBS 8.1 Client agreements: non-MiFID designated investment business, COBS 8A Client agreements (MiFID provisions), COBS 8A.1 Client agreements (MiFID, equivalent third country or optional exemption business), COBS 9 Suitability (including basic advice) (other than MiFID and insurance-based investment products), COBS 9.1 Application and purpose provisions, COBS 9.3 Guidance on assessing suitability, COBS 9.5 Record keeping and retention periods for suitability records, COBS 9.5A Additional guidance for firms with insistent clients, COBS 9.6 Special rules for giving basic advice on a stakeholder product, COBS 9 Annex 1 Basic advice initial disclosure information, COBS 9 Annex 2 Sales processes for stakeholder products, COBS 9A Suitability (MiFID and insurance-based investment products provisions), COBS 9A.2 Assessing suitability: the obligations, COBS 9A.3 Information to be provided to the client, COBS 9A.4 Record keeping and retention periods for suitability records, COBS 10 Appropriateness (for non-MiFID and non-insurance-based investment products non-advised services) (non-MiFID and non-insurance-based investment products provisions), COBS 10.2 Assessing appropriateness: the obligations, COBS 10.4 Assessing appropriateness: when it need not be done, COBS 10.5 Assessing appropriateness: guidance, COBS 10.6 When a firm need not assess appropriateness, COBS 10.7 Record keeping and retention periods for appropriateness records, COBS 10A Appropriateness (for non-advised services) (MiFID and insurance-based investment products provisions), COBS 10A.2 Assessing appropriateness: the obligations, COBS 10A.4 Assessing appropriateness: when it need not be done due to type of investment, COBS 10A.5 Assessing appropriateness: guidance, COBS 10A.6 Assessing appropriateness: when a firm need not assess appropriateness due to suitability assessment, COBS 10A.7 Record keeping and retention periods for appropriateness records, COBS 11.2 Best execution for AIFMs and residual CIS operators, COBS 11.2A Best execution MiFID provisions, COBS 11.2B Best execution for UCITS management companies, COBS 11.5 Record keeping: client orders and transactions [deleted], COBS 11.5A Record keeping: client orders and transactions, COBS 11.6 Use of dealing commission [deleted], COBS 11.7A Personal account dealing relating to MiFID, equivalent third country or optional exemption business, COBS 11.8 Recording telephone conversations and electronic communications [deleted], COBS 11 Annex 1UK Regulatory Technical Standard 28 (RTS 28) [deleted], COBS 11A.2 Prohibition of future service restrictions, COBS 12.2 Investment research and non-independent research, COBS 12.3 Non-independent research [deleted], COBS 13.1 The obligation to prepare product information, COBS 13.2 Product information: production standards, form and contents, COBS 13.3 Contents of a key features document, COBS 13.4 Contents of a key features illustration, COBS 13.5 Preparing product information: other projections, COBS 13.6 Preparing product information: adviser and consultancy charges, COBS 13 Annex 1 Solvency II Directive Information, COBS 13 Annex 3 Charges information for a non-PRIIP packaged product, COBS 13 Annex 4 Charges information for a personal pension scheme and a stakeholder pension scheme, COBS 14 Providing product information to clients, COBS 14.2 Providing product information to clients, COBS 14.3 Information about designated investments (non-MiFID provisions), COBS 14.3A Information about financial instruments (MiFID provisions), COBS 14.4 Provision of information by an intermediate Unitholder, COBS 15 Annex 1 Exemptions from the right to cancel, COBS 16 Reporting information to clients (non-MiFID provisions), COBS 16.4 Statements of client designated investments or client money, COBS 16.5 Quotations for surrender values, COBS 16.6 Communications to clients life insurance, long term care insurance and drawdown pensions, COBS 16 Annex 1R Trade confirmation and periodic information, COBS 16 Annex 2R Information to be included in a periodic report, COBS 16A Reporting information to clients (MiFID and insurance-based investment products provisions), COBS 16A.2 General client reporting and record keeping requirements, COBS 16A.3 Occasional reporting: MiFID business, COBS 16A.5 Statements of client financial instruments or client funds, COBS 17 Claims handling for long-term care insurance, COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies, COBS 18.2 Energy market activity and oil market activity, COBS 18.5 Residual CIS operators and small authorised UK AIFMs, COBS 18.5A Full-scope UK AIFMs and incoming EEA AIFM branches, COBS 18.6A Insurance Special Purpose Vehicles (ISPVs), COBS 18.8 OPS firms - non scope business[deleted], COBS 18.12 Operating an electronic system in relation to lending, COBS 18 Annex 1 Research and inducements for collective portfolio managers, COBS 18 Annex 2 Record keeping: client orders and transactions, COBS 19 Pensions supplementary provisions, COBS 19.1 Pension transfers, conversions, and opt-outs, COBS 19.1A Abridged advice on pension transfers and pension conversions, COBS 19.1B Ban on contingent charging for pension transfers and conversions, COBS 19.2 Personal pensions, FSAVCs and AVCs, COBS 19.3 Product disclosure to members of occupational pension schemes, COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges, COBS 19.6 Restriction on charges in qualifying schemes, COBS 19.6A Restrictions on early exit charges in personal pension schemes and stakeholder pension schemes, COBS 19.7 Pensions nudge and retirement risk warnings, COBS 19.8 Disclosure of transaction costs and administration charges in connection with workplace pension schemes, COBS 19.9 Pension annuity comparison information, COBS 19.10 Drawdown, investment pathways and cash warnings, COBS 19 Annex 1 Pensions nudge and retirement risk warnings - steps to take, COBS 19 Annex 2 Communications about options to access pension savings, COBS 19 Annex 3 Format for annuity information, COBS 19 Annex 4A Appropriate pension transfer analysis, COBS 19 Annex 4B Transfer value comparator, COBS 19 Annex 5 Format for provision of transfer value comparator, COBS 20.2 Treating with-profits policyholders fairly, COBS 20.3 Principles and Practices of Financial Management, COBS 20.4 Communications with with-profits policyholders, COBS 21 Permitted Links and conditional permitted links, COBS 21.2 Rules for firms engaged in linked long-term insurance business, COBS 21.3 Further rules for firms engaged in linked long-term insurance business, COBS 22 Restrictions on the distribution of certain complex investment products, COBS 22.1 Temporary restrictions on contingent convertible instruments [expired], COBS 22.2 Restrictions on the retail distribution of mutual society shares, COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds, COBS 22.4 Prohibition on the retail marketing, distribution and sale of derivative contracts of a binary or other fixed outcomes nature, COBS 22.5 Restrictions on the retail marketing, distribution and sale of contracts for differences and similar speculative investments, COBS 22.6 Prohibition on the retail marketing, distribution and sale of cryptoasset derivatives and cryptoasset exchange traded notes, COBS TP 1 Transitional Provisions relating to Client Categorisation, COBS Sch 3 Fees and other required payments, ICOBS Insurance: Conduct of Business sourcebook, ICOBS 1 Annex 1 Application (see ICOBS 1.1.2 R), ICOBS 2.2 Communications to clients and financial promotions, ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties, ICOBS 2.6 Distribution of connected contracts through exempt persons, ICOBS 3 Annex 1 Guidance on the UK provisions which implemented the Distance Marketing Directive, ICOBS 3 Annex 2 Distance marketing information, ICOBS 3 Annex 3 Abbreviated distance marketing information, ICOBS 4 Information about the firm, its services and remuneration, ICOBS 4.1 General requirements for insurance intermediaries and insurers, ICOBS 4.1A Means of communication to customers, ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers, ICOBS 4.4 Commission disclosure for commercial customers, ICOBS 4.6 Commission disclosure for pure protection contracts sold with retail investment products, ICOBS 4 Annex 1 Initial disclosure document [deleted], ICOBS 5 Identifying client needs and advising, ICOBS 6.-1 Producing and providing product information, ICOBS 6.1 Providing product information to customers: general, ICOBS 6.2 Pre-contract information: general insurance contracts, ICOBS 6.3 Pre- and post-contract information: pure protection contracts, ICOBS 6.4 Pre- and post-contract information: protection policies, ICOBS 6 Annex 1 Responsibilities of insurers and insurance intermediaries in certain situations, ICOBS 6 Annex 2 Policy summary (pure protection contracts and / or commercial customers). For those who have been billed and paid and for those who have not been billed and have an expired or expiring certificate the inspectors have been instructed to not cite a violation for an expired certificate at this time. Sales and Use Tax Information - Marylandtaxes.gov Visit ourDisaster Relief pagefor more information about how calamity rebuild assessments are calculated. For those owners/operators who have paid and not yet received a certificate one will be mailed soon, as we are transitioning to a new database. Upon dissolution of a limited liability company under items 1 or 3, a Certificate of Dissolution (CSCL/CD 731) shall be filed. Welcome to the Assessor's Office - Sonoma County, California Non-Residents and Income Tax - Canada.ca Unsecured Property Taxes 5:00 p.m. Pacific Time on Wednesday, December 12th. If you do not allow these cookies we will not know when you have visited our site and will not be able to monitor its performance. This legislation affects Parent-Child and Grandparent-Grandchild exclusions and Base Year Value Transfers. PERG 7.5 When is it appropriate to apply for a certificate? Te new registration process will begin with the new Fiscal Year 2019. See SUP 12.4.3 G. SUP 12 Annex 2 Guidance on information firms should take reasonable steps to obtain to verify and to assess the fitness and propriety of an appointed representative (other than an introducer appointed representative). PERG 1.5 What other guidance about the perimeter is available from the FCA? Janes | The latest defence and security news from Janes - the trusted source for defence intelligence WDPG 3.3 Wind-down scenarios: what would make a firm no longer viable? PERG 4.4A Mortgage contracts entered into before 21 March 2016, PERG 4.5 Arranging regulated mortgage contracts, PERG 4.6 Advising on regulated mortgage contracts, PERG 4.7 Entering into a regulated mortgage contract, PERG 4.8 Administering a regulated mortgage contract, PERG 4.9 Agreeing to carry on a regulated activity, PERG 4.10 Exclusions applying to more than one regulated activity, PERG 4.10A Activities within scope of the Mortgage Credit Directive, PERG 4.10B Regulation of buy to let lending, PERG 4.11 Link between activities and the United Kingdom, PERG 4.14 Mortgage activities carried on by professional firms, PERG 4.15 Mortgage activities carried on by 'packagers', PERG 4.17 Interaction with the Consumer Credit Act and consumer credit regulated activities, PERG 4.18 Regulated activities related to mortgages: flowchart, PERG 5 Guidance on insurance distribution activities, PERG 5.5 The regulated activities: dealing in contracts as agent, PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance, PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance, PERG 5.8 The regulated activities: advising on contracts of insurance, PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity, PERG 5.12 Link between activities and the United Kingdom, PERG 5.16 Meaning of insurance distribution and reinsurance distribution, PERG 6 Guidance on the Identification of Contracts of Insurance, PERG 7 Periodical publications, news services and broadcasts: applications for certification. The web Browser you are currently using is unsupported, and some features of this site may not work as intended. Visit theBOEs Proposition 19page for the most up to date information. page for the most up to date information. Foreign nationals who seek authorization to work under the authority of paragraph 205(d) of the Immigration and Refugee Protection Regulations (IRPR) are required to obtain an employer-specific work permit, but may not need a Labour Market Impact Assessment (LMIA) (exemption code C50).. Paragraph R205(d) applies to foreign nationals whose work in Canada will be of a Service Companies, UK Recognised Investment Exchanges, Multilateral Trading Facilities, Organised Trading Facilities, Regulated Benchmark Administrators and Claims Management Companies, FEES 4 Annex 11B Definition of annual income for the purposes of calculating fees in fee blocks CC1 and CC2, FEES 4 Annex 12 Guidance on the calculation of tariffs set out in FEES 4 Annex 1AR Part 3, FEES 4 Annex 13 Guidance on the calculation of tariffs set out in FEES 4 Annex 1AR Part 3, FEES 4 Annex 14 UKLA periodic fees for the period from 1 April 2022 to 31 March 2023, FEES 4 Annex 15 Fees relating to the recognition of benchmark administrators and the endorsement of benchmarks for the period 1 April 2022 to 31 March 2023, FEES 4 Annex 16R Periodic fees for credit rating agencies, trade repositories and securitisation repositories, FEES 4A Temporary Permissions Regime (TPR) and Financial Service Contracts Regime (FSCR) periodic fees, FEES 4A.2 Obligation to pay periodic fees, FEES 4A Annex 1R TP persons periodic fees for the period from 1 April 2022 to 31 March 2023, FEES 4A Annex 2 TPR funds periodic fees for the period from 1 April 2022 to 31 March 2023, FEES 4A Annex 3 Special Project Fee for restructuring, FEES 4A Annex 4 Special Project Fee for contractual run-off firms, FEES 5 Financial Ombudsman Service Funding, FEES 5.8 Joining the Financial Ombudsman Service, FEES 5 Annex 1R Annual General Levy Payable in Relation to the Compulsory Jurisdiction for 2022/23, FEES 5 Annex 2R Annual Levy Payable in Relation to the Voluntary Jurisdiction 2022/23, FEES 5 Annex 3R Case Fees Payable for 2022/23, FEES 5 Annex 4R Definition of annual income for the purposes of the FOS general levy where the firm is a claims management company, FEES 6 Financial Services Compensation Scheme Funding, FEES 6.3 The FSCS's power to impose levies, FEES 6.4A Management expenses in respect of relevant schemes, FEES 6 Annex 1 Financial Services Compensation Scheme - Management Expenses Levy Limit, FEES 6 Annex 2 Financial Services Compensation Scheme - annual levy limits, FEES 6 Annex 3A Financial Services Compensation Scheme - classes and categories, FEES 6 Annex 4 Guidance on the calculation of tariff bases, FEES 7A.3 The SFGB money advice levy and debt advice levy, FEES 7A.4 The SFGB pensions guidance advice levy, FEES 7A Annex 1 SFGB money advice levy for the period from 1 April 2022 to 31 March 2023, FEES 7A Annex 2 SFGB debt advice levy for the period from 1 April 2022 to 31 March 2023, FEES 7A Annex 3 SFGB pensions guidance levy for the period 1 April 2022 to 31 March 2023, FEES 7B Annex 1R DA levy for the period from 1 April 2022 to 31 March 2023, FEES 7C Temporary Permissions Regime (TPR) and Financial Service Contracts Regime (FSCR) - Single Financial Guidance Body levy, FEES 7C.3 The TPR SFGB money advice levy and debt advice levy, FEES 7C.4 The TPR SFGB pensions guidance advice levy, FEES 7C.5 FEES 4 rules incorporated into FEES 7C by cross-reference, FEES 7C Annex 1R TPR SFGB money advice levy for the period from 1 April 2022 to 31 March 2023, FEES 7C Annex 2R TPR SFGB debt advice levy for the period from 1 April 2022 to 31 March 2023, FEES 7C Annex 3R TPR SFGB pensions guidance levy for the period 1 April 2022 to 31 March 2023, FEES 7D Temporary Permissions Regime (TPR) Devolved Authorities levy, FEES 7D.3 FEES 4 rules incorporated into FEES 7D by cross-reference, FEES 7D Annex 1R TPR DA levy for the period from 1 April 2022 to 31 March 2023, FEES 12.3 Late payments and recovery of unpaid levies, FEES 13 Annex 1 Illegal money lending (IML) levy for 2022/23, FEES 13A Temporary Permissions Regime (TPR) and Financial Service Contracts Regime (FSCR) Illegal money lending levy, FEES 13A.2 Obligation to pay the IML levy, FEES 13A Annex 1R TPR illegal money lending (IML) levy for 2022/23, FEES App 1 Unauthorised Mutuals Registration Fees Rules, FEES App 1 Annex 1 Periodic fees payable for the period 1 April 2018 to 31 March 2019 [deleted], FEES App 1 Annex 1A Application Fees payable, FEES App 1 Annex 2 Further information on fees, FEES App 1 Annex 4 Glossary of definitions, FEES App 2 Office for Professional Body Anti-money laundering Supervision fees, FEES App 2.2 Application fees imposed under Regulation 27 of the OPBAS Regulations, FEES App 2.3 Periodic fees imposed under Regulation 27 of the OPBAS Regulations, FEES App 2 Annex 1 Application fee imposed under Regulation 27 of the OPBAS Regulations, FEES App 2 Annex 2 Periodic fees imposed under Regulation 27 of the OPBAS Regulations: tariff base, review date, tariff rates, FEES App 2 Annex 3 Glossary of definitions, FEES App 3 Fees payable by persons registered under the Money Laundering Regulations that are not cryptoasset businesses, FEES App 3.1 Fees for persons registered under the Money Laundering Regulations that are not cryptoasset businesses, FEES App 4 Fees payable by cryptoasset businesses registered under the Money Laundering Regulations, FEES App 4 Annex 1 Application fee payable by cryptoasset businesses registered under the Money Laundering Regulations, FEES App 4 Annex 2 Periodic fees payable by cryptoasset businesses registered under the Money Laundering Regulations, FEES App 4 Annex 3 Definition of annual income for the calculation of fees, FEES TP 2 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2007/8 and in 2008/9, FEES TP 3 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2010/11, FEES TP 4 Transitional provisions relating to information requirements following changes to FEES 4 or 5, FEES TP 5 Transitional Provisions relating to the Special Project Fee for Restructuring, FEES TP 7 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2013/14, FEES TP 8 Transitional provisions relating to FEES 3 Annex 9R and FEES 4.3.6R taking effect in 2013/14, FEES TP 9 Transitional arrangements in relation to amendments introduced by the Compensation Sourcebook (Investments by Large Unincorporated Associations and Certain Large Partnerships) Instrument 2013, FEES TP 10 Transitional Provisions relating to FEES 4.2.7BR for firms carrying on credit related regulated activities, FEES TP 11 Transitional Provisions for the Benchmarks Order 2015, FEES TP 13 Transitional provisions relating to the calculation of tariff bases for insurers, FEES TP 14 Transitional provisions relating to FEES 4 for benchmark administrators and recognised investment exchanges, FEES TP 15 Transitional Provisions for the MiFID II Order, FEES TP 16R Transitional Provisions for Market Data Processor System Connectivity Fees, FEES TP 17R Transitional provisions relating to the Payment Services Regulations 2017 and Electronic Money Regulations 2011, FEES TP 17A Transitional provisions for fees relating to benchmark administrators, FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19, FEES TP 19 Transitional provisions relating to statements provided by participant firms before 1 April 2019 with respect to the FSCS 2019/20 financial year, FEES TP 19A Transitional provisions relating to the payment of fees in 2019/20, taking effect on 14 March 2019, FEES TP 20 Transitional provisions relating to the Temporary Permissions regime for Claims Management Companies, taking effect on 1 January 2019, FEES TP 20A Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2019/20, FEES TP 21 Transitional provisions relating to FSCS levy arrangements from IP completion day, FEES TP 22 Transitional provisions relating to FSCS levy arrangements for TP firms from IP completion day, FEES TP 23 Transitional provisions for a data reporting services provider that was an incoming data reporting services provider prior to IP completion day, GENPRU 3 Annex 1 Capital adequacy calculations for financial conglomerates (GENPRU 3.1.29R), GENPRU 3 Annex 2 Prudential rules for third country groups (GENPRU 3.2.8R to GENPRU 3.2.9R), GENPRU 3 Annex 3 Guidance Notes for Classification of Groups, GENPRU Sch 5 Rights of action for damages, GENPRU Sch 5 Rights of action for damages, INSPRU Prudential sourcebook for Insurers, INSPRU 1 Capital resources requirements and technical provisions for insurance business, INSPRU 8 General provisions applying INSPRU and GENPRU to Lloyd's, INSPRU 8.2 Special provisions for Lloyd's, INSPRU Sch 2 Notification and reporting requirements, INSPRU Sch 3 Fees and other requirement payments, INSPRU Sch 5 Rights of action for damages, MIFIDPRU Prudential sourcebook for MiFID Investment Firms, MIFIDPRU 1.2 SNI MIFIDPRU investment firms, MIFIDPRU 1 Annex 1 Notification under MIFIDPRU 1.2.4R in respect of the use of the alternative approach to measure AUM and/or COH for the purpose of determining if a firm can be classified as an SNI investment firm, MIFIDPRU 1 Annex 2 Notification under MIFIDPRU 1.2.7R(2) of the use of an end-of-day value for CMH as a result of a qualifying error, MIFIDPRU 1 Annex 3 Notification under MIFIDPRU 1.2.13R(2)(b) that a non-SNI investment firm qualifies to be reclassified as an SNI investment firm, MIFIDPRU 1 Annex 4 Notification under MIFIDPRU 1.2.16R that a firm no longer qualifies to be classified as an SNI investment firm, MIFIDPRU 1 Annex 5 Application for a permission under MIFIDPRU for which there is no dedicated application form, MIFIDPRU 1 Annex 6 Notification under MIFIDPRU for which there is no dedicated notification form, MIFIDPRU 2 Level of application of requirements, MIFIDPRU 2.4 Investment firm groups: general, MIFIDPRU 2.7 Investment holding companies, mixed financial holding companies and mixed-activity holding companies, MIFIDPRU 2 Annex 1 Application under MIFIDPRU 2.3.3R for an exemption from application of specific requirements on an individual basis, MIFIDPRU 2 Annex 2 Application under MIFIDPRU 2.4.17R for permission to apply the group capital test, MIFIDPRU 2 Annex 3 Notification under MIFIDPRU 2.5.17R of intended use of proportional consolidation in respect of a relevant financial undertaking, MIFIDPRU 2 Annex 4 Application under MIFIDPRU 2.5.19R for an exemption from liquidity requirements on a consolidated basis, MIFIDPRU 2 Annex 5 Application under MIFIDPRU 2.5.34R(2) for permission to use offsetting positions when calculating K-NPR on a consolidated basis, MIFIDPRU 2 Annex 6 Application under MIFIDPRU 2.5.40R for permission to include a portfolio of a designated investment firm in consolidated K-CMG, MIFIDPRU 2 Annex 7 Application under MIFIDPRU 2.5.41R for permission to include portfolio of a third country entity in consolidated K-CMG, MIFIDPRU 2 Annex 8 Notification under MIFIDPRU 2.4.20R relating to membership of an investment firm group and/or a financial conglomerate, MIFIDPRU 3.2 Composition of own funds and initial capital, MIFIDPRU 3.3 Common equity tier 1 capital, MIFIDPRU 3.6 General requirements for own funds instruments, MIFIDPRU 3.7 Composition of capital for parent undertakings subject to the group capital test, MIFIDPRU 3 Annex 1 Application under MIFIDPRU 3.3.2R - permission to include interim or year-end profits as CET1, MIFIDPRU 3 Annex 2 Application under MIFIDPRU 3.3.3R(1) - permission to classify capital instruments as CET1, MIFIDPRU 3 Annex 3 Notification under MIFIDPRU 3.3.3R(2) - issuance of additional capital instruments that have already been approved as CET1 instruments, MIFIDPRU 3 Annex 4 Application under MIFIDPRU 3.6.2R - permission to reduce own funds instruments when neither condition in MIFIDPRU 3.6.4R applies, MIFIDPRU 3 Annex 5 Notification under MIFIDPRU 3.6.3R - intended reduction in own funds instruments where a condition in MIFIDPRU 3.6.4R applies, MIFIDPRU 3 Annex 6 Notification under MIFIDPRU 3.6.5R of issuance of additional tier 1 or tier 2 instruments, MIFIDPRU 3 Annex 7R Additional provisions relating to own funds, MIFIDPRU 3 Annex 8R Prudent valuation and additional valuation adjustments, MIFIDPRU 4.4 Permanent minimum capital requirement, MIFIDPRU 4.6 Overall K-factor requirement, MIFIDPRU 4.11 Trading book and dealing on own account: general provisions, MIFIDPRU 4 Annex 1R Application under MIFIDPRU 4.11.9R permission to exclude hedges from article 352 of the UK CRR, MIFIDPRU 4 Annex 2R Application under MIFIDPRU 4.12.4R for permission to use an advanced internal market risk model, MIFIDPRU 4 Annex 3R Application under MIFIDPRU 4.12.6R material change or extension to internal market risk models, MIFIDPRU 4 Annex 4R Notification under MIFIDPRU 4.12.7R non-material change or extension to use of an internal model, MIFIDPRU 4 Annex 5R Notification under MIFIDPRU 4.12.10R and 4.14.20R use of own delta estimates for standardised approach for options (K-NPR), MIFIDPRU 4 Annex 6R Application under MIFIDPRU 4.12.66R to use sensitivity models to calculate interest rate risk on derivative instruments, MIFIDPRU 4 Annex 7R Application under MIFIDPRU 4.13.9R permission for K-CMG, MIFIDPRU 4 Annex 8R Notification under MIFIDPRU 4.13.10R K-CMG conditions no longer satisfied, MIFIDPRU 4 Annex 9R Notification under MIFIDPRU 4.13.20R cancellation of K-CMG permission, MIFIDPRU 4 Annex 10R Application under MIFIDPRU 4.14.6R permission to exclude transactions with some counterparties from K-TCD, MIFIDPRU 4 Annex 11R Application under MIFIDPRU 4.5.9R permission to rebase fixed overhead requirement, MIFIDPRU 4 Annex 12G Guidance on the interaction between K-AUM and K-COH, MIFIDPRU 4 Annex 13R K-NPR requirement - provisions on closely correlated currencies, MIFIDPRU 5.3 Overview of concentration risk requirements for dealing on own account, MIFIDPRU 5.4 Calculation of exposure value (EV), MIFIDPRU 5.5 The concentration risk soft limit and exposure value excess, MIFIDPRU 5.6 Obligations for a firm that exceeds the concentration risk soft limit, MIFIDPRU 5.8 Procedures to prevent investment firms from avoiding the K-CON own funds requirement, MIFIDPRU 5.9 The hard limits on concentration risk, MIFIDPRU 5.11 Exemption for commodity and emission allowance dealers, MIFIDPRU 5 Annex 1 Notification under MIFIDPRU 5.6.3R and 5.9.3R that limits for concentration risk have been exceeded, MIFIDPRU 5 Annex 2 Notifications under MIFIDPRU 5.11.2R in respect of the exemption from K-CON requirement for commodity and emission allowance dealers, MIFIDPRU 6 Basic liquid assets requirement, MIFIDPRU 6.2 Basic liquid assets requirement, MIFIDPRU 7 Governance and risk management, MIFIDPRU 7.3 Risk, remuneration and nomination committees, MIFIDPRU 7.4 Internal capital adequacy and risk assessment (ICARA) process: overview and baseline obligations, MIFIDPRU 7.5 ICARA process: capital and liquidity planning, stress testing, wind-down planning and recovery planning, MIFIDPRU 7.6 ICARA process: assessing and monitoring the adequacy of own funds, MIFIDPRU 7.7 ICARA process: assessing and monitoring the adequacy of liquid assets, MIFIDPRU 7.8 Reviewing and documenting the ICARA process, MIFIDPRU 7.9 ICARA process: firms forming part of a group, MIFIDPRU 7.10 Supervisory review and evaluation process, MIFIDPRU 7 Annex 1 Guidance on assessing potential harms that is potentially relevant to all firms, MIFIDPRU 7 Annex 2 Additional guidance on assessing potential harms that is relevant for firms dealing on own account or firms with significant investments on their balance sheet, MIFIDPRU 7 Annex 3 Notification under MIFIDPRU 7.1 and SYSC 19G.1 on the requirements to establish certain committees or the additional remuneration requirements, MIFIDPRU 7 Annex 4 Notification under MIFIDPRU 7.6.11R in relation to level of own funds, MIFIDPRU 7 Annex 5 Notification under MIFIDPRU 7.7.14R in relation to level of liquid assets, MIFIDPRU 7 Annex 6 Notification under MIFIDPRU 7.8.4R in relation to revised ICARA assessment questionnaire (data item MIF007) submission date, MIFIDPRU 7 Annex 7 Map of rules and guidance relating to the ICARA process, MIFIDPRU 8.2 Risk management objectives and policies, MIFIDPRU 8.6 Remuneration policy and practices, MIFIDPRU 8 Annex 1R Disclosure template for information required under MIFIDPRU 8.4.1R in respect of own funds, MIFIDPRU 8 Annex 2R Disclosure template for information required under MIFIDPRU 8.7.1R in respect of voting rights, MIFIDPRU 9.2 Periodic reporting requirements, MIFIDPRU 9.3 Reporting on a consolidated basis, MIFIDPRU 9.4 Group capital test reporting, MIFIDPRU 9 Annex 1 Data items for MIFIDPRU 9, MIFIDPRU 9 Annex 2 Guidance notes on data items in MIFIDPRU 9 Annex 1R, MIFIDPRU 10 Firms acting as clearing members and indirect clearing firms, MIFIDPRU 10.2 Categorisation of clearing firms as non-SNI MIFIDPRU investment firms, MIFIDPRU 10.3 Application of K-DTF requirement to clearing activities, MIFIDPRU 10.4 Own funds requirement for CCP default fund exposures, MIFIDPRU TP 1 Own funds transitional provisions, MIFIDPRU TP 2 Own funds requirements: transitional provisions, MIFIDPRU TP 3 Group capital test: transitional arrangements, MIFIDPRU TP 4 K-factor metric calculations: transitional, MIFIDPRU TP 6 Application of criteria to be classified as an SNI MIFIDPRU investment firm: transitional, MIFIDPRU TP 7 Transitional provision for own funds instruments without UK CRR approvals before 1 January 2022, MIFIDPRU TP 8 Commodity and emission allowance dealers, MIFIDPRU TP 9 IFPRU waivers: transitional, MIFIDPRU TP 10 Transitional capital and liquidity requirements for former IFPRU investment firms, BIPRU firms or their groups with ICG or ILG issued before 1 January 2022, MIFIDPRU TP 11 Prudential reporting with a reference date before 1 January 2022, MIFIDPRU TP 12 Disclosure requirements: transitional provisions, MIFIDPRU Sch 1 Record-keeping requirements, MIFIDPRU Sch 3 Fees and other payment requirements, MIFIDPRU Sch 4 Rights of action for damages, MIFIDPRU Sch 5 Rules that can be waived or modified, MIPRU Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries, MIPRU 1 Application and general provisions, MIPRU 1.3 Remuneration and property valuation requirements for MCD creditors, MIPRU 2 Responsibility for insurance distribution and MCD credit intermediation activity, MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity, MIPRU 2.3 Knowledge, ability and good repute [deleted], MIPRU 3.2 Professional indemnity insurance requirements, MIPRU 4.2A Credit risk capital requirement, MIPRU 4.2D Liquidity resources requirements, MIPRU 4.2E Use of external credit assessments, MIPRU 4.4 Calculation of capital resources, MIPRU 5 Insurance distributors and home finance providers using insurance distribution or home finance mediation services, MIPRU TP 2 Transitional Provisions for former exempt CAD firms, MIPRU Sch 3 Fees and other required payments, MIPRU Sch 5 Rights of actions for damages, IPRU-FSOC Interim Prudential sourcebook for Friendly Societies, IPRU-FSOC -link- Interim Prudential sourcebook for friendly societies, IPRU-FSOC Interim Prudential sourcebook for friendly societies, IPRU-INS Interim Prudential sourcebook for Insurers, IPRU-INS -link- Interim Prudential sourcebook for Insurers, IPRU-INV Interim Prudential sourcebook for Investment Businesses, IPRU-INV -link- Interim Prudential sourcebook for Investment Businesses, IPRU-INV 1 Application and General Provisions, IPRU-INV 2.2 FINANCIAL RESOURCES REQUIREMENTS, IPRU-INV 2.3 PROFESSIONAL INDEMNITY INSURANCE, IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS, IPRU-INV 3 Interim Prudential sourcebook for Investment Businesses, IPRU-INV 3 Financial resources for Securities and Futures Firms which are not MiFID Investment Firms, IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS, IPRU-INV 5.4 Financial resources requirement, IPRU-INV 5.6 Qualifying subordinated loans, IPRU-INV 5.7 Qualifying property and qualifying undertakings, IPRU-INV 5.8 Calculation of own funds and liquid capital, IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme, IPRU-INV 5.10 Expenditure based requirement, IPRU-INV 5.12 Counterparty risk requirement (CRR), IPRU-INV 5.13 Counterparty risk factor: cash settlements, IPRU-INV 5.14 Counterparty risk requirement, IPRU-INV 5.15 OTC derivatives: calculation of credit equivalent amount, IPRU-INV 5.16 Foreign exchange requirement, IPRU-INV 5 App 1 Appendix 5(1): Glossary of terms for IPRU-INV 5, IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5, IPRU-INV 11 Collective Portfolio Management Firms and Collective Portfolio Management Investment Firms, IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS, IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS. 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