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Information Gathering Access to Documents and Personnel

Application provision

1.1 This Part applies to every firm.

4.1

19/06/2014

Subject to section 413 of FSMA, a firm must, in relation to the discharge of the PRA’s functions under any relevant legislation:
  1. (1) permit any representative or appointee of the PRA to have access to any document that the PRA reasonably requests;
  2. (2) make itself readily available to meet any representative or appointee of the PRA as the PRA reasonably requests; and
  3. (3) answer truthfully, fully and promptly all questions reasonably put to it by any representative or appointee of the PRA.

4.2

19/06/2014

Subject to section 413 of FSMA, a firm must, in relation to the discharge of the PRA’s functions under any relevant legislation, take reasonable steps to ensure that the following persons act in the manner set out in 4.1 in relation to the firm:
  1. (1) its employees, agents and appointed representatives; and
  2. (2) any other members of its group, and their employees and agents.