Related provisions for INSPRU 1.5.4

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GEN 4.2.2GRP
There are other pre-contract information requirements outside this chapter, including:(1) for financial promotions, inthe financial promotion rules;55(2) for designated investment business, inCOBS 8 (Client agreements), COBS 5 (Distance Communications), COBS 6 (Information about the firm, its services and remuneration), COBS 13 and 14 (which relate to product information)5 and CASS (Client assets);5(3) for non-investment insurance contracts3, distance communication requirements
APER 2.1A.2PRP
An approved person will not be subject to a Statement of Principle to the extent that it would be contrary to the UK's obligations under a Single Market Directive or the auction regulation.
COLL 1.2.3RRP
2A UCITS scheme is deemed to be established in the United Kingdom, irrespective of whether it has been established under the laws of England and Wales, Scotland or Northern Ireland.[Note: article 4 of the UCITS Directive]
BIPRU 7.3.39RRP

Table: Qualifying equity indices

This table belongs to BIPRU 7.3.38R

Country or territory

Name of index

Australia

All Ordinaries

Austria

Austrian Traded Index

Belgium

BEL 20

Canada

TSE 35, TSE 100, TSE 300

France

CAC 40, SBF 250

Germany

DAX

European

Dow Jones Stoxx 50 Index, FTSE Eurotop 300, MSCI Euro Index

Hong Kong

Hang Seng 33

Italy

MIB 30

Japan

Nikkei 225, Nikkei 300, TOPIX

Korea

Kospi

Netherlands

AEX

Singapore

Straits Times Index

Spain

IBEX 35

Sweden

OMX

Switzerland

SMI

UK

FTSE 100, FTSE Mid 250, FTSE All Share

US

S&P 500, Dow Jones Industrial Average, NASDAQ Composite, Russell 2000
PERG 1.2.1GRP
(1) The Financial Services and Markets Act 2000 (the Act) is the UK legislation under which bodies corporate, partnerships, individuals and unincorporated associations are permitted by the FCA or PRA to carry on various financial activities which are subject to regulation (referred to as regulated activities).(2) The activities which are regulated activities are specified in the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (the Regulated Activities
LR 9.2.5GRP
A listed company, whose equity shares5 are admitted to trading on a regulated market in the United Kingdom, should consider its obligations under DTR 2 (Disclosure and control of inside information by issuers).15
FEES 6.7.6RRP
If a firm ceases to be a participant firm or carry out activities within one or more classes54 part way through a financial year4 of the compensation scheme:4(1) it will remain liable for any unpaid levies which the FSCS has already made on the firm; and41(2) the FSCS may make one or more levies4 upon it (which may be before or after the firm5 has ceased to be a participant firm or carry out activities within one or more classes5,4 but must be before it ceases to be an authorised
SUP 15.1.5GRP
Firms are reminded that, unless expressly stated otherwise, where a rule or guidance includes a reference to a firm this includes all UK and overseas branches and representative offices of that firm, whether or not those branches or offices carry on any regulated activities.44
CASS 1A.3.1BGRP
1CASS 1A.3.1A R describes the controlled function known as the CASS operational oversight function. The table of controlled functions in SUP 10.4.5 R together with SUP 10.7.9 R specify the CASS operational oversight function as a required function for a firm to which CASS 1A.3.1A R applies.
BIPRU 11.2.1RRP
The following must comply with the obligations laid down in BIPRU 11.3 on an individual basis:(1) a firm which is neither a parent undertaking nor a subsidiary undertaking;(2) a firm which is excluded from a UK consolidation group or non-EEA sub-group pursuant to BIPRU 8.5; and[Note: BCD Article 68(3)](3) a firm which is part of a group which has been granted an investment firm consolidation waiver under BIPRU 8.4;[Note: CAD.Article 23]
GEN 7.1.1RRP
This chapter applies to a firm carrying on activities from an establishment in the United Kingdom.
BIPRU 1.1.10GRP
(1) This paragraph applies to an undertaking that would be a third country BIPRU firm if it were authorised under the Act.(2) Except in exceptional circumstances, it is the appropriate regulator's policy that it will not give an overseas applicant a Part 4A permission unless the appropriate regulator is satisfied that the applicant will be subject to prudential regulation by its home state regulatory body that is broadly equivalent to that provided for in the Handbook and the
COND 2.2.1AUKRP
(1) Unless sub-paragraph (3), (4)(a) or (7)6 applies, if A is a body incorporated in the United Kingdom -6(a) A’s head office, and(b) if A has a registered office, that office,must be in the United Kingdom. (2) If A is not a body corporate but A’s head office is in the United Kingdom, A must carry on business in the United Kingdom. (3) If-(a) A is seeking to carry on, or is carrying on, a regulated activity which is any of the investment services and activities,(b) A is a body
GEN 6.1.2GRP
For the purposes of GEN 2.2.17 R (Activities covered by general rules), the chapter applies to regulated and unregulated activities carried on in the United Kingdom or overseas.
GENPRU 3.1.3AGRP
6If a mixed financial holding company is subject to equivalent provisions under this Chapter and under EEA prudential sectoral legislation in relation to the insurance sector as implemented in the United Kingdom and the FCA is the coordinator, the FCA may, on application by the firm and after consulting other relevant competent authorities, disapply such provisions of the EEA prudential sectoral legislation as implemented in the United Kingdom with regard to that undertaking which
COND 2.4.4GRP
(1) [deleted]88(2) Relevant matters to which the FCA may have regard when assessing whether a firm will satisfy, and continue to satisfy, this threshold condition8may include but are not limited to:(a) (in relation to a firm other than a firm carrying on, or seeking to carry on, a PRA-regulated activity),8 whether there are any indications that the firm may have difficulties if the application is granted, at the time of the grant or in the future, in complying with any of the
LR 18.4.2RRP
A UK issuer of equity shares which the certificates represent must comply with the continuing obligations set out in LR 9 (Continuing obligations) in addition to the requirements of this section.