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SUP 8.1 Application and purpose

SUP 8.1.1R

This chapter applies to every:

  1. (1)

    firm that wishes to apply for, consent to, or has been given a modification of or waiver of the FSA's rules;

  2. (2)

    person, as respects a particular AUT or ICVC, who wishes to apply for, or consent to, or has been given a modification of or waiver of the rules in COLL or, as the case may be, CIS2.

SUP 8.1.1AGRP

This chapter is relevant to an applicant for a Part IV permission, as if that applicant were a firm. Where the chapter refers to usualsupervisory contact, the applicant should read this as being the usual contact inCorporate Authorisation.1

SUP 8.1.2GRP

A recognised body should see REC 3.3 for information on waivers of rules in REC under section 294 of the Act.

SUP 8.1.3GRP

This chapter is not relevant to the functions of the UKLA, that is the FSA acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing).

Purpose

SUP 8.1.4GRP

This chapter explains how the regime for the waiver or modification of rules works.