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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.
Mark Varela
Mind Map by Mark Varela, updated more than 1 year ago
Mark Varela
Created by Mark Varela almost 10 years ago
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Resource summary

H3: MCOB
  1. Mortgage firms carring out reg. activites
    1. Lenders
      1. Administrators
        1. Arrangers
          1. Advisers
          2. ways in which firms & individuals operate effect how MCOB applies
            1. Direct authorisation

              Annotations:

              • wholly responsible for complying with MCOB & other FCA req'mts
              1. Appointed rep

                Annotations:

                • responsibility for compliance lies with principal (lender, network, or IFA)
                1. Introducer status

                  Annotations:

                  • firm or individual merely passes on leads to authorised person and do not require FCA authorisation as do not advise
                2. Intermediary status
                  1. Whole of market
                    1. Limited to no of lenders
                      1. single lender
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