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H3: MCOB

Description

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.2: The FCA Handbook) Mind Map on H3: MCOB, created by Mark Varela on 24/05/2014.

Mind Map by Mark Varela, updated more than 1 year ago

	Created by Mark Varela almost 10 years ago

Resource summary

H3: MCOB

Mortgage firms carring out reg. activites
1. Lenders
2. Administrators
3. Arrangers
4. Advisers
ways in which firms & individuals operate effect how MCOB applies
1. Direct authorisation
  Annotations:
  - wholly responsible for complying with MCOB & other FCA req'mts
2. Appointed rep
  Annotations:
  - responsibility for compliance lies with principal (lender, network, or IFA)
3. Introducer status
  Annotations:
  - firm or individual merely passes on leads to authorised person and do not require FCA authorisation as do not advise
Intermediary status
1. Whole of market
2. Limited to no of lenders
3. single lender

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