Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

GEN 1.1 Application

GEN 1.1.1RRP
  1. (1)

    This chapter applies to every firm. GEN 1.3 (Emergency) also applies to an unauthorised person to whom a rule in the Handbook applies.1

  2. (2)

    For a UCITS qualifier, this chapter applies only with respect to the communication and approval of financial promotions to whichCOB 3 (Financial promotion)3 applies and to the maintenance of facilities to which COLL 9.4 (Facilities in the United Kingdom) and CIS 17.5 (Facilities in the United Kingdom) apply3.2

GEN 1.1.2GRP

GEN 1.1.1 R (2) reflects section 266 of the Act (Disapplication of rules).