51 rows · In relation to activity number 9A, see TC 2.1.5HR and TC 2.1.6R(2). There is no qualification for this activity in the list of qualifications set out in TC Appendix 4E . However, the effect of TC 2.1.5HR is that an employee advising on P2P agreements must be qualified to the same standard as if that employee were providing investment advice to retail clients on retail investment products .
420 rows · Note: The activity numbers in this table relate to the activities14 in TC App 1.1.1 R. These.
activities TC App 1 TC Appendix 1 App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3 TC App 2 Appendix 2 App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3 TC App 3 Appendix 3 App 3.1 Circumstances in which TC does not apply TC –i www.handbook. fca .org.uk Release 6 Apr 2021, TC 4.2 Specified requirements for firms carrying on insurance distribution activities Collapse – TC App 1 TC Appendix 1. TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3 Collapse – TC App 2 Appendix 2. TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3 Collapse – TC App 3 Appendix 3, tc 1.1.3 g 03/01/2018 rp The competent employees rule is the main 4 requirement relating to the competence of employees . The purpose of this sourcebook is to support the FCA ‘s supervisory function by supplementing the competent employees rule for retail activities .
TC 4.2 Specified requirements for firms carrying on …
TC 1.1 Who, what and where? – FCA Handbook, TC 1.1 Who, what and where? – FCA Handbook, What are the regulatory training and competency …
19A firm must ensure that an employee does not carry on any of the activities 23A to 23E in TC Appendix 1 without having an appropriate level of knowledge and competence, which includes an appropriate: (1) knowledge of MCD credit agreements and.
Other Activities 7 Advising on Long-term care insurance contracts 8 Advising on syndicate participation at Lloyd’s 9 Advising on investments in the course of corporate finance business 10 Acting as a Broker fund adviser 11 Acting as a Pension transfer specialist 14 Managing investments 15
