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 |
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|
|
(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 |
All categories of firm except: |
Entire sections |
|
(-a) |
a credit union;2 |
|
|
(a) |
an ICVC; |
|
|
(b) |
an incoming EEA firm; |
|
|
(c) |
an incoming Treaty firm; |
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(d) |
a non-directive friendly society; |
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(e)4 |
[deleted]4 |
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(f) |
a sole trader; |
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(g) |
a service company; |
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(h) |
a UCITS qualifier;8 8 |
|
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(i)8 |
a firm with permission to carry on only retail investment activities;8 |
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8
|
(j)8 |
a firm with permission to carry on only insurance mediation activity, home finance mediation activity,16 or both;8 16 |
|
8
|
(ja)30 |
an FCA-authorised person with permission to carry on only credit-related regulated activity; |
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|
(k)8 |
a firm falling within a combination of (i), (j) and (ja). 30 30 |
|
8
|
SUP 16.6 |
Bank 27 |
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 G2628 |
|
Depositary of an ACS28 |
SUP 16.6.6 R to SUP 16.6.9 G28 |
33SUP 16.7A |
A firm subject to the requirement in SUP 16.7A.3 R or SUP 16.7A.5 R |
Sections as relevant |
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 14 |
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 |
9
|
(a)9 |
an ICVC;9 |
|
9
|
(b)9 |
a UCITS qualifier; 21 |
|
9
|
(c)9 |
a credit union; and219 |
|
9
|
21(d) |
a dormant account fund operator. |
|
SUP 16.118 |
A firm, other than a managing agent, which is:8 |
Entire section8 |
8
|
(1)8 |
a home finance provider;16 or8 16 |
|
8
|
(2)8 |
an insurer; or8 |
|
8
|
(3)8 |
the operator of a regulated collective investment scheme or an investment trust savings scheme; or8 |
|
8
|
(4)8 |
a person who issues or manages the relevant assets of the issuer of a structured capital-at-risk product8; or 30 30 |
|
8
|
30(5) |
a firm with permission to enter into a regulated credit agreement as lender in respect of high-cost short-term credit or home credit loan agreements. |
|
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 |
Entire section29 |
29SUP 16.18 |
A full-scope UK AIFM and a small authorised UK AIFM |
SUP 16.8.3 R |
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. 66 |
29Note 3 = The application of SUP 16.18 for the types of AIFMs specified in SUP 16.1.1C G is set out in SUP 16.18.2 G. |
