Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  2. Point in time
    2011-03-06

TC App 3.1 Circumstances in which TC does not apply1

TC App 3.1.1 RP

1 Type of firm/activity

Application

Incoming EEA firm

This sourcebook does not apply where responsibility for any matter it covers is reserved by an EU2 instrument to the firm'sHome State regulator

2

Incoming Treaty firm

This sourcebook does not apply where responsibility for any matter it covers is reserved by an EU2 instrument to the firm'sHome State regulator

2

UCITS qualifier

This sourcebook only applies where it is relevant to the manner in which a firmcommunicates 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.