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You are viewing the version of the document as on 2023-07-04.

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  3. Point in time
    2023-07-04

PRIN TP 1 Transitional provisions

PRIN TP 1.1

Material to which the transitional provision applies

Transitional Provision

Transitional Provision: dates in force

Handbook provision: coming into force

11.

PRIN 1 Annex 1 R 1.2(2)

R

A firm need not comply with PRIN Ann 1R 1.2(2) in relation to an eligible counterparty if the client was correctly categorised as a market counterparty on 31 October 2007 and the firm complied with COB 4.1.12 R (2) (Large intermediate customer classified as market counterparty).

From 1 November 2007 indefinitely

1 November 2007