Auditors and Actuaries rules (Appointment) (Note 2)
|
Section 340
|
SUP 3
and SUP 4
|
Control of information rules
|
Section 147
|
COB 2.4
|
Financial promotion rules
|
Section 145
|
COB 3
, ICOB 3, 3MCOB 3, 1PRIN and SYSC
|
General rules
|
Section 138
|
Throughout the Handbook
|
Insurance business rules
|
Section 141
|
PRU
4
|
Money laundering rules
|
Section 146
|
SYSC 3.2
5
5
|
Price stabilising rules
|
Section 144
|
MAR 2
|
Authorised unit trust scheme rules
|
Section 247
|
COLL and CIS
|
Authorised unit trust scheme particulars rules
|
Section 248
|
COLL and CIS
|
Investment company with variable capital rules
|
Regulation 6 of the OEIC Regulations
|
COLL and CIS
|
Information from small e-money issuers rules
|
Article 9G(1) of the Regulated Activities Order
|
ELM 8.7
|
Rules prohibiting the issue of e-money at a discount
|
Article 9H(1) of the Regulated Activities Order
|
ELM 4.4
|
Continued rules
|
Article 4 of the Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Rules) Order 2001
|
IPRU(Bank) 3.3.15R (in chapter GN) IPRU(INV) (the continued provisions) SUP (parts of SUP 16 Ann 10)
|
Continued provisions
|
Article 9 of the Financial Services and Markets Act 2000 (Consequential Amendments and Transitional Provisions) (Credit Unions) Order 2002
|
CRED 7
, CRED 14
|
Note 1 = There are also relevant incidental, supplemental, consequential and transitional rules made under those powers in various parts of the Handbook, including relevant application provisions, GEN, the Glossary and relevant schedules of transitional provisions.
|
Note 2 = The FSA does not have the power to waive the application of auditors and actuaries rules, if those rules apply directly to an auditor or actuary, as opposed to applying to a firm. Schedule 6 to the Supervision manual identifies those auditors and actuaries rules in SUP 3 and SUP 4 which can be waived.
|