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You are viewing the version of the document as on 2023-04-28.

Timeline guidance

participant firm

(1)163 160a firm160 (including a TP firm)178 other than:

  1. 160(a)163 [deleted]178160160160
    5. 148
    6. 148
    7. 148
    148160
  3. (b)160163 a service company;
  6. (c)160163 an underwriting agent , or members' adviser , in respect of advising on syndicate participation at Lloyd's or managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's;
  7. (d)160163 an authorised professional firm that is subject to the rules of the Law Society (England and Wales) or the Law Society of Scotland and with respect to its regulated activities participates in the relevant society's compensation scheme;
  8. (e)160163 an ICVC;
  9. (f)160163 [deleted]178
  11. (g)160163 178in respect of the carrying on of bidding in emissions auctions, an exempt MiFID commodities firm;200163117
  12. (h)160163 [deleted]178117
  13. (i)160163 an operator of an electronic system in relation to lending in respect of operating the system; 175169
  14. (j) a regulated benchmark administrator in relation to administering a benchmark;169 and175
  15. (k) a claims management company in relation to a regulated claims management activity;175
  16. (l) a TP AIFM qualifier;178
  17. (m) a TP UCITS qualifier;178
  18. (n) a TP firm that under section 213(9A) or section 213(9A) [bis] of the Act is not to be regarded as a relevant person;178

(2) a recognised investment exchange but only insofar as it is operating a multilateral trading facility or operating an organised trading facility;178163160(3) (except in FEES 6) a pre-exit incoming EEA firm but only:178

  1. (a) in relation to acts or omissions before IP completion day195 that give rise to a claim against it; and178
  2. (b) (where necessary for it to have obtained FSCS cover) that had, before IP completion day195: 178
    1. (i) notified the FSCS in writing that it had elected to participate in the compensation scheme under SI 2001/1783 (as in force and as from time to time amended before IP completion day195); and178
    2. (ii) the FSCS had notified it that its election had been accepted.178