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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
(1) Section(s)
(2) Categories of firm to which section applies
(3) Applicable rules and guidance
SUP 16.1,SUP 16.2andSUP 16.3
All categories of firm except:
Entire sections
(a)
an ICVC;
(b)
an incoming EEA firm or incoming Treaty firm, which is not:
(i)
a firm of a type to which SUP 16.6 or 20SUP 16.1220 applies; or
(ii)
an insurer with permission to effect or carry outlife policies; or
(iii)3
a with to establish, operate or wind up a stakeholder pension scheme;14a firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme;14
(c)
a UCITS qualifier.
SUP 16.4 and SUP 16.52
(-a)
a credit union;2
an incoming EEA firm;
an incoming Treaty firm;
(d)
a non-directive friendly society;
(e)4
[deleted]4
(f)
a sole trader;
(g)
a service company;
(h)
a UCITS qualifier;8
(i)8
a firm with permission to carry on only retail investment activities;8
(j)8
a firm with permission to carry on only insurance mediation activity, home finance mediation activity,16 or both;8
(k)8
a firm falling within both (i) and (j)8
SUP 16.6
Bank
SUP 16.6.4 R to SUP 16.6.5 R
Depositary of an ICVC
SUP 16.6.6 R to SUP 16.6.9 G
OPS firm
SUP 16.6.6 R to SUP 16.6.8 R
Trustee of an AUT
SUP 16.6.6 R to SUP 16.6.9 G26
SUP 16.8
Insurer with permission to effect or carry out life policies, unless it is a non-directive friendly society3
Entire section
3Firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme14
Entire section3
SUP 16.95
Firm with permission to advise on investments; arrange (bring about) deals in investments; make arrangements with a view to transactions in investments; or arrange safeguarding and administration of assets5
Entire section5
SUP 16.109
All categories of firm except:9
Entire section9
(a)9
an ICVC;9
(b)9
a UCITS qualifier; 21
(c)9
a credit union; and219
21(d)
a dormant account fund operator.
SUP 16.118
A firm, other than a managing agent, which is:8
Entire section8
(1)8
a home finance provider;16 or8
(2)8
an insurer; or8
(3)8
the operator of a regulated collective investment scheme or an investment trust savings scheme; or8
(4)8
a person who issues or manages the relevant assets of the issuer of a structured capital-at-risk product8.
17SUP 16.12
A firm undertaking the regulated activities as listed in SUP 16.12.4 R, unless exempted in SUP 16.12.1 G
Sections as relevant to regulated activities as listed in SUP 16.12.4 R23
232425SUP 16.14
A CASS large firm and a CASS medium firm
27Note 2 = The application of SUP 16.13 is set out under SUP 16.13.1 G;66 the application of SUP 16.15 is set out under SUP 16.15.1 G; the application of SUP 16.16 is set out SUP 16.16.1 R and SUP 16.16.2 R and the application of SUP 16.17 is set out in SUP 16.17.3 R and SUP 16.17.4 R66.
