for a client for whom the firm has evidence that it was a professional client for the purposes of the custody rules at the time of the failure: acting as trustee or depositary of an AIF, and in this case also include any safe custody investments to which the firm, when acting for an authorised AIF, is required by CASS 6.1.16IAR (2) to apply the custody rules under CASS 6.1.1BR (2); 6 FEES TP 4 Transitional provisions relating to information requirements following changes to FEES 4 or 5 MIFIDPRU 7 Annex 6 Notification under MIFIDPRU 7.8.4R in relation to revised ICARA assessment questionnaire (data item MIF007) submission date

GEN TP 4 Transitional Provision on early compliance with the Insurance Distribution Directive applying across the Handbook [deleted] CONC TP 7B Transitional provisions in relation to the Consumer Credit (High-Cost Credit) Instrument 2018 EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy which satisfies the requirements of CASS 5.5.49 R 2 to the extent that the representative or agent will hold client money on trust or otherwise on behalf SUP 15 Annex 7R Form H: Form for the notification of disciplinary action relating to conduct rules staff (other than SMF managers) in SMCR firmsSUP 16 Annex 49B Notes on completing the general insurance pricing information report forms (REP 021, REP021a, REP021b, REP021c, REP021d and REP021e) consistent basis to the extent required to meet any shortfall of the client money resource compared with the firm's client money requirement; and MCOB 15.3 Further provisions about the application of MCOB where agreements are facilitated by a P2P platform MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity FEES TP 7 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2013/14

it will be unable to or materially fails to conduct an internal client money reconciliation in compliance with CASS 13.10.5R; or EG App 2 Appendix 2 - Guidelines on investigation of cases of interest or concern to the Financial Conduct Authority and other prosecuting and investigating agencies EG App 3 Appendix 3 - Appendix to the guidelines on investigation of cases of interest or concern to the financial conduct authority and other prosecuting and investigating agencies

the firm holds client money using a client bank account under CASS 7.13.13R(3A)(b) (Segregation of client money); and

FEES 4A Temporary Permissions Regime (TPR) and Financial Service Contracts Regime (FSCR) – periodic fees MIFIDPRU 7 Annex 2 Additional guidance on assessing potential harms that is relevant for firms dealing on own account or firms with significant investments on their balance sheet of premium on behalf of the insurance undertaking). Accordingly such money is not, except where a firm andCOBS 6.1ZA Information about the firm and compensation information (MiFID and insurance distribution provisions)