Related provisions for IFPRU 3.1.1

1 - 12 of 12 items.

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

IFPRU 1.1.1GRP
There is no overall application for IFPRU. Each chapter or section has its own application statement. However, IFPRU broadly applies in the following manner: (1) only IFPRU 7 (Liquidity) and IFPRU 9 (Public disclosure) apply to an exempt IFPRU commodities firm and IFPRU 8.1 (Prudential consolidation) may apply subject to the conditions in that section; and(1A) IFPRU 101 (Capital buffers) applies to an IFPRU investment firm, unless it is an: (a) exempt IFPRU commodities firm; or(b)
IPRU-INV 1.2.2RRP
(1) IPRU-INV applies to: (a) a members' adviser; (b) an investment management firm; (c) a personal investment firm; (d) an authorised professional firm; (e) a securities and futures firm; (f) a service company; (g) the Society of Lloyd's (in relation to underwriting agents); (h) [deleted] (i) a credit union which is a CTF provider; and (j) an exempt
IFPRU 4.1.1RRP
1IFPRU 4 applies to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm.
IFPRU 10.1.1RRP
1IFPRU 10 applies to an IFPRU investment firm, unless it is one of the following: (1) an IFPRUlimited licence firm; or(2) an exempt IFPRU commodities firm.
IFPRU 3.2.1RRP
IFPRU 3 applies to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm.
IFPRU 8.1.1RRP
(1) This section applies to an IFPRU investment firm.(2) This section does not apply to an exempt IFPRU commodities firm if the conditions in (2) are met.(3) The conditions are:(a) article 498 of the EU CRR (Exemptions for commodities dealers) applies to it;(b) the exempt IFPRU commodities firm is not a member of a FCAconsolidation group or non-EEA sub-group;(c) each investment firm in the group that the exempt IFPRU commodities firm belongs to meets the conditions in article
IFPRU 8.2.1RRP
This section applies to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm to which article 493 of the EU CRR applies.
IFPRU 6.1.1RRP
IFPRU 6 applies to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm.
IFPRU 2.1.1RRP
IFPRU 2 applies in the following manner:(1) to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm; and(2) the general stress and scenario testing rule (and related rules and guidance) applies only to a significant IFPRU firm.