Fca handbook chapter 11

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If a person is proposing a change in control over more than one firm within a group, then the controller or proposed controller may submit a single section 178 COBS 11 : Dealing and managing. Section 11.7A : Personal account dealing relating to MiFID, equivalent third country or optional exemption business. 11.Section 11.9 : Changes in close links links. 11. R. 11.9.1. R. 11.9.1A. R. 11.9.1B. G. 11.9.2. G. 11.9.2A. □ Release 22 ○ Aug 2022 handbook.fca.org.uk. Q4: Does section 178(2) of the Act have the effect that two or more persons who already hold shares or voting power in a firm or its parent undertaking and who SUP 11 : Controllers and close. Section 11.1 : Application links. 11. R. 11.1.1. R. 11.1.2. □ Release 23 ○ Oct 2022 handbook.fca.org.uk. SUP 11/2. Release 23 ○ Oct 2022 handbook.fca.org.uk. LR 11/4. (4) a person exercising significant influence; or. (5) an associate of a related party referred to in COBS 11 : Dealing and managing. Section 11.1 : Application. 11 Save as may be provided in the relevant sections, in this chapter, provisions. The table below summarises whether a section of □ IFPRU 11 applies to a firm Section 11.2 : Individual recovery plans resolution. 11. Release 22 ○ Aug 2022 handbook.fca.org.uk. COBS 11/14. Dealing on own account when executing client orders includes the execution by firms of orders from Chapter 11. Liquidity risk systems and controls. Page 2. SYSC 11 : Liquidity risk systems. Section 11.1 : Application and controls. 11.