SUP 8.1 Application and purpose
[deleted]7
7This chapter applies to every:
- (1)
firm or person who is subject to FCA rules that wishes to apply for, consent to, or has been given a modification of or waiver of the FCA's rules;
- (2)
person, as respects a particular AUT, ACS6 or ICVC, who wishes to apply for, consent to, or has been given a modification of or waiver of the rules in COLL.
This chapter is relevant to an applicant for a Part 4A permission7, as if that applicant were a firm. Where the chapter refers to appropriate7supervisory contact, the applicant should read this as being the usual supervisory7contact at7 the appropriate regulator7. Further, this chapter is relevant to a person who is subject to rules made by the appropriate regulator7 and where the chapter refers to a firm, this includes that person5.1
77577A recognised body should see REC 3.3 for information on waivers of rules in REC under section 294 of the Act.