1
Q
The FCA Rules: Electronic Media
A
- Firms and their customers communicate and transact business electronically
- The FCA Rules have adapted to reflect this movement in communications
2
Q
The FCA rules refer to information being transmitted or provided in a durable medium, this means:
A
- paper, or
- any instrument which lets the recipient store the information so that they can access it for future reference, for an appropriate time and on an unchanged basis
- it includes storage on a PC, but excludes internet sites, unless they meet the requirement in relation to storage and retrieval
Decks in class (11)
# Cards
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1.) Application and General Provisions of COBS5
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1.2) Firms Subject to COBS8
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1.3) Activities Subject to COBS3
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1.4) Appointed Representatives3
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1.5) Electronic Media2
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1.6) Recording of Telephone Conversations and Electronic Communications10
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2.) Accepting Client: Client Categorisation17
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2.1.5) Recatagorising Clients and Providing lower levels of Protection5
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2.1.6) Recategorising Clients and Providing Higher Levels of Protection5
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2.2) Client Agreements6
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2.3) Information Requirements9
