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Application provision

1.1 Unless otherwise stated, this Part applies to a small non-directive insurer.

5.1

07/03/2016

The requirements of 2.4 do not apply to a firm in respect of any person who has continued approval in relation to that firm.

5.2

10/12/2018

Item (F) in the regulatory reference template does not require disclosure of the following information if the firm’s records do not show whether the conduct that was subject to disciplinary action amounted to a breach of the individual conduct requirements referred to in item (F) in the regulatory reference template:

  1. (1) disciplinary action that took place prior to 10 December 2018. 
  2. (2) [not used]