TC App 3.1 Circumstances in which TC does not apply1

1Type of firm/activity

Application

Incoming EEA firm

This sourcebook does not apply where responsibility for any matter it covers is reserved by a European Community instrument to the firm's Home State regulator

Incoming Treaty firm

This sourcebook does not apply where responsibility for any matter it covers is reserved by a European Community instrument to the firm's Home State regulator

UCITS qualifier

This sourcebook only applies where it is relevant to the manner in which a firm communicates or approves a financial promotion

Authorised professional firm

TC does not apply with respect to its non-mainstream regulated activities (see PROF 5.2)

Incoming ECA provider

TC does not apply to an incoming ECA provider acting as such.