Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

PERG 13 Annex 3 Annex 3Are you subject to the CRD and EU CRR (or allowed to be subject to the recast CAD)?2

Are you subject to the CRD and EU CRR (or allowed to be subject to the recast CAD)?2

2
PERG_13_Ann3_1_20140101.png

IFPRU investment firms (excluding collective portfolio management investment firms)2

Are we an IFPRU 50K firm, an IFPRU 125K firm or an IFPRU 730K firm?2

22
PERG_13_Ann3_2_20140101.PNG

Note

It is possible, in principle, that an IFPRU investment firm2 may only provide the investment service of investment advice and hold client funds or securities, in which case the starting point is generally that it is an IFPRU 730K firm.2 In practice, if such a firm wishes to benefit from a lower capital treatment (for example euro 125,000), it may wish to add an arranging (bringing about) deals in investments element to its permission to enable it to receive and transmit orders in relation to MiFID instruments.

22