GEN 1.1 Application
[Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation covering various topics relating to automated trading and direct electronic access.
7See www.fca.org.uk7]- (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)
[deleted]4
33332 - (3)
6GEN 1.2.2AR(1) also applies to a registered person communicating a financial promotion relating to one or more qualifying cryptoassets (in reliance on the exemption in article 73ZA of the Financial Promotion Order).
- (4)
6For the purpose of (3), reference in GEN 1.2.2AR(1) to a firm include reference to a registered person.